M&A & valuation — May 2026
RIA acquirers, investment bankers, valuation firms, and lenders.
100 firms opened this window in the May 2026 SEC roster: 48 deregistered, 26 headcount down, 26 aum down.
65
U.S. BANCORP INVESTMENTS, INC. — (SAINT PAUL, MN) left the SEC roster (was $22.94B RAUM, 944 reps). IAPD ↗
65
REGENCY INVESTMENT ADVISORS INC — (FRESNO, CA) left the SEC roster (was $1.14B RAUM, 8 reps). IAPD ↗
65
COVENANT PARTNERS, LLC — (NASHVILLE, TN) left the SEC roster (was $1.08B RAUM, 5 reps). IAPD ↗
65
EXENCIAL WEALTH ADVISORS — (OKLAHOMA CITY, OK) left the SEC roster (was $5.98B RAUM, 47 reps). IAPD ↗
65
ALPHA CUBED INVESTMENTS, LLC — (COSTA MESA, CA) left the SEC roster (was $3.78B RAUM, 22 reps). IAPD ↗
65
JOURNEY STRATEGIC WEALTH LLC — (SUMMIT, NJ) left the SEC roster (was $4.64B RAUM, 21 reps). IAPD ↗
63
VANTAGE WEALTH — (PASADENA, CA) left the SEC roster (was $683.8M RAUM, 4 reps). IAPD ↗
63
STUART CHAUSSÉE & ASSOCIATES, INC. — (location n/a) left the SEC roster (was $407.9M RAUM, 2 reps). IAPD ↗
63
EDGE FINANCIAL ADVISORS, LLC — (WHEATON, IL) left the SEC roster (was $512.5M RAUM, 8 reps). IAPD ↗
63
DEMPSEY LORD SMITH, LLC — (ROME, GA) left the SEC roster (was $580.5M RAUM, 78 reps). IAPD ↗
63
TJT CAPITAL GROUP, LLC — (STAMFORD, CT) left the SEC roster (was $294.1M RAUM, 2 reps). IAPD ↗
63
HARBOR WEALTH MANAGEMENT, LLC — (GREEN BAY, WI) left the SEC roster (was $410.5M RAUM, 5 reps). IAPD ↗
63
DIVERGENT PLANNING — (BETHESDA, MD) left the SEC roster (was $423.1M RAUM, 4 reps). IAPD ↗
63
PATHFINDER WEALTH CONSULTING — (WILMINGTON, NC) left the SEC roster (was $865.5M RAUM, 9 reps). IAPD ↗
60
WOOTTON FINANCIAL GROUP INC — (CONROE, TX) left the SEC roster (was $156.0M RAUM, 1 reps). IAPD ↗
60
MCBRIDE FINANCIAL ADVISORS, LLC — (location n/a) left the SEC roster (was $170.0M RAUM, 1 reps). IAPD ↗
60
RESOURCE 1, INC. — (NORFOLK, VA) left the SEC roster (was $132.7M RAUM, 2 reps). IAPD ↗
60
COMPLETE FINANCIAL PLANNING,INC. — (location n/a) left the SEC roster (was $32.0M RAUM, 1 reps). IAPD ↗
60
FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. — (location n/a) left the SEC roster (was $41.9M RAUM, 2 reps). IAPD ↗
60
CH DOUGLAS & GRAY WEALTH MANAGEMENT — (INDIANAPOLIS, IN) left the SEC roster (was $187.2M RAUM, 6 reps). IAPD ↗
60
CRESCENT FINANCIAL ADVISORS — (SENECA, SC) left the SEC roster (was $192.8M RAUM, 3 reps). IAPD ↗
60
STEVARD LLC — (location n/a) left the SEC roster (was $42.9M RAUM, 1 reps). IAPD ↗
60
LOGIX INVESTMENTS LLC — (CLEVELAND, OH) left the SEC roster (was $100.4M RAUM, 3 reps). IAPD ↗
60
REMBRANDT FINANCIAL GROUP LLC — (AUSTIN, TX) left the SEC roster (was $188.6M RAUM, 3 reps). IAPD ↗
60
A|C MANAGEMENT TECH LLC — (MIAMI, FL) left the SEC roster (was $98,361 RAUM, 2 reps). IAPD ↗
60
STRIVE RETIREMENT GROUP — (DAYTONA BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $6.1M RAUM, 3 reps). IAPD ↗
60
STEINWOLD & CO. LLC — (CHICAGO, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
60
CHARTERED WEALTH PARTNERS, LP — (BEVERLY HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
60
BECKETT CLARK PRIVATE WEALTH, LLC — (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $28.6M RAUM, 1 reps). IAPD ↗
60
OASYS WEALTH, INC. — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
60
GUIDED PATH FINANCIAL — (PLANO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
55
TRUWEALTH ADVISORS, LLC — shrank from 18 to 14 advisory reps. IAPD ↗
53
BATES FINANCIAL ADVISORS, INC. — shrank from 7 to 5 advisory reps. IAPD ↗
53
MODERN CAPITAL ADVISORS, LLC — shrank from 24 to 18 advisory reps. IAPD ↗
53
ADAMS WEALTH ADVISORS — shrank from 16 to 11 advisory reps. IAPD ↗
53
CAPASSO PLANNING PARTNERS LLC — shrank from 7 to 4 advisory reps. IAPD ↗
50
WAYPOINT WEALTH MANAGEMENT — shrank from 3 to 1 advisory reps. IAPD ↗
50
KG CAPITAL MANAGEMENT, LLC — shrank from 8 to 3 advisory reps. IAPD ↗
50
PARADIGM WEALTH MANAGEMENT — shrank from 5 to 2 advisory reps. IAPD ↗
50
GANIM PRIVATE WEALTH — shrank from 6 to 4 advisory reps. IAPD ↗
50
ARIA WEALTH MANAGEMENT — shrank from 8 to 6 advisory reps. IAPD ↗
50
VITA PLANNING GROUP LLC — shrank from 5 to 3 advisory reps. IAPD ↗
50
SPHINX INVESTMENTS LLC — shrank from 4 to 2 advisory reps. IAPD ↗
50
WILLOW PARTNER ADVISORS, LLC — shrank from 10 to 5 advisory reps. IAPD ↗
50
ENCORE WEALTH ADVISORS — shrank from 3 to 1 advisory reps. IAPD ↗
50
IMPERITY WEALTH ALLIANCE LLC — shrank from 14 to 10 advisory reps. IAPD ↗
48
BROOKLINE INVESTMENTS, INC. — reported RAUM down 30% ($402.6M -> $281.5M). IAPD ↗
45
INTERCAROLINA FINANCIAL SERVICES, INC. — reported RAUM down 35% ($130.8M -> $85.4M). IAPD ↗
45
IBN FINANCIAL SERVICES, INC — reported RAUM down 51% ($180.5M -> $87.7M). IAPD ↗
45
LEGACY CORNERSTONE WEALTH LLC — reported RAUM down 79% ($106.1M -> $22.4M). IAPD ↗
45
PARADIGM WEALTH MANAGEMENT — reported RAUM down 72% ($421.2M -> $116.3M). IAPD ↗
45
FC WEALTH SOLUTIONS LLC — reported RAUM down 49% ($199.4M -> $101.0M). IAPD ↗
45
IBN ADVISORY SERVICES, INC. — reported RAUM down 62% ($184.9M -> $69.8M). IAPD ↗
45
EVESTIA FINANCIAL — reported RAUM down 37% ($52.6M -> $33.3M). IAPD ↗
45
SPHINX INVESTMENTS LLC — reported RAUM down 29% ($64.7M -> $46.1M). IAPD ↗
45
NAPLES WEALTH PLANNING — reported RAUM down 36% ($356.3M -> $226.9M). IAPD ↗
45
BREAKTHRU ADVISORY SERVICES, LLC — reported RAUM down 48% ($243.0M -> $125.7M). IAPD ↗
53
CCM INVESTMENT GROUP, LLC — (NORTHFIELD, MN) left the SEC roster (was $951.6M RAUM, 2 reps). IAPD ↗institutional
50
50
TRUE PARTNER CAPITAL USA — (CHICAGO, IL) left the SEC roster (was $145.6M RAUM, 1 reps). IAPD ↗institutional
50
OTTER ROCK ADVISORS LP — (STAMFORD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
50
NAYANA INVESTMENT MANAGEMENT LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
50
SNOWBALL ADVISORS, LLC — (MIAMI BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
48
45
AXEL CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $21.7M RAUM, 1 reps). IAPD ↗fund
45
SKY CREEK CAPITAL MANAGEMENT — (location n/a) left the SEC roster (was $64,970 RAUM, 1 reps). IAPD ↗fund
45
GRIZZLY CAPITAL MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $34.2M RAUM, 5 reps). IAPD ↗fund
45
ALGEBRAIC CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
45
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38
MAN GLOBAL PRIVATE MARKETS (USA) INC. — reported RAUM down 31% ($1.43B -> $988.2M). IAPD ↗institutional
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CENTRICUS ASSET MANAGEMENT LIMITED — (LONDON, United Kingdom) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗foreign
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Free page: firm, event, phone, website. The paid feed adds every window as CSV, filters by state and AUM band, and alerts the day the roster drops. Data: SEC Form ADV monthly roster; confirm on IAPD before acting.