← Tributary

M&A & valuation — August 2026

RIA acquirers, investment bankers, valuation firms, and lenders.

101 firms opened this window in the August 2026 SEC roster: 76 deregistered, 17 headcount down, 8 aum down.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

65
IWP WEALTH MANAGEMENT LLC — (DENVER, CO) left the SEC roster (was $4.32B RAUM, 14 reps). IAPD ↗
$4.32B RAUM · 14 reps · 720-328-9700
65
D'ANNUNZIO CONSULTING GROUP, LLC — (TACOMA, WA) left the SEC roster (was $1.90B RAUM, 2 reps). IAPD ↗
$1.90B RAUM · 2 reps · 253-272-1972 · dannunzioconsulting.com
65
WELLSPRING FINANCIAL PARTNERS — (TUCSON, AZ) left the SEC roster (was $1.22B RAUM, 3 reps). IAPD ↗
$1.22B RAUM · 3 reps · 520-327-1019
65
VIVALDI CAPITAL MANAGEMENT LP — (CHICAGO, IL) left the SEC roster (was $5.64B RAUM, 27 reps). IAPD ↗
$5.64B RAUM · 27 reps · 312.248.8300
63
OLSTEIN CAPITAL MANAGEMENT, L.P. — (PURCHASE, NY) left the SEC roster (was $564.1M RAUM, 6 reps). IAPD ↗
$564.1M RAUM · 6 reps · 914-269-6100 · olsteinfunds.com
63
THE HOGAN-KNOTTS FINANCIAL GROUP, INC. — (RED BANK, NJ) left the SEC roster (was $331.6M RAUM, 4 reps). IAPD ↗
$331.6M RAUM · 4 reps · 732-842-7400 · hkfg.biz
63
IMC ADVISORS, LLC — (COLUMBUS, IN) left the SEC roster (was $540.0M RAUM, 3 reps). IAPD ↗
$540.0M RAUM · 3 reps · 812-376-3331 · imcadvisors.com
63
RESOURCE FINANCIAL GROUP, LTD. — (WILMETTE, IL) left the SEC roster (was $637.4M RAUM, 2 reps). IAPD ↗
$637.4M RAUM · 2 reps · 847-256-7495 · rfgltd.com
63
NORTHSTAR FINANCIAL PLANNERS, INC. — (PLANTATION, FL) left the SEC roster (was $311.6M RAUM, 4 reps). IAPD ↗
$311.6M RAUM · 4 reps · 954-693-0030
63
ALIGN IMPACT, LLC — (DENVER, CO) left the SEC roster (was $715.4M RAUM, 11 reps). IAPD ↗
$715.4M RAUM · 11 reps · 805-243-8055
63
RED TORTOISE — (ATLANTA, GA) left the SEC roster (was $382.3M RAUM, 4 reps). IAPD ↗
$382.3M RAUM · 4 reps · (833) 666-1200
63
NAPATREE CAPITAL LLC — (WESTERLY, RI) left the SEC roster (was $260.0M RAUM, 4 reps). IAPD ↗
$260.0M RAUM · 4 reps · (401) 868-1115
63
RANSOM ADVISORY — (location n/a) left the SEC roster (was $317.9M RAUM, 1 reps). IAPD ↗
$317.9M RAUM · 1 reps · (401) 601-0185
63
JOULE FINANCIAL, LLC — (LEXINGTON, KY) left the SEC roster (was $478.6M RAUM, 6 reps). IAPD ↗
$478.6M RAUM · 6 reps · 859-881-0777 · joulefinancial.com
63
RITTER DANIHER FINANCIAL ADVISORY LLC — (CINCINNATI, OH) left the SEC roster (was $936.5M RAUM, 10 reps). IAPD ↗
$936.5M RAUM · 10 reps · 513-233-0715 · ritterdaniher.com
60
V.M. MANNING & CO., INC. — (GREENVILLE, SC) left the SEC roster (was $133.3M RAUM, 2 reps). IAPD ↗
$133.3M RAUM · 2 reps · 864-232-8231 · vmmanning.com
60
WARNKE/NICHOLS LTD. — (DELAFIELD, WI) left the SEC roster (was $160.0M RAUM, 2 reps). IAPD ↗
$160.0M RAUM · 2 reps · 262-303-4113 · warnkenichols.com
60
SUMMIT CAPITAL INC. — (location n/a) left the SEC roster (was $176.6M RAUM, 3 reps). IAPD ↗
$176.6M RAUM · 3 reps · 216-539-8444 · summit-capital.com
60
HODGE FINANCIAL SERVICES, LLC — (location n/a) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗
$19.7M RAUM · 1 reps · 603-336-5942
60
WATERSTONE WEALTH ADVISORS, LLC — (location n/a) left the SEC roster (was $164.9M RAUM, 1 reps). IAPD ↗
$164.9M RAUM · 1 reps · 732-873-0433
60
MERIDIAN WEALTH ADVISORS, LLC — (ALBUQUERQUE, NM) left the SEC roster (was $156.2M RAUM, 1 reps). IAPD ↗
$156.2M RAUM · 1 reps · (505) 828-2220 · wealthtender.com
60
CROSSPOINT CAPITAL MANAGEMENT — (ORINDA, CA) left the SEC roster (was $118.0M RAUM, 2 reps). IAPD ↗
$118.0M RAUM · 2 reps · 415-949-1443
60
LPK INVESTMENT GROUP, LLP — (NEW YORK, NY) left the SEC roster (was $98.0M RAUM, 18 reps). IAPD ↗
$98.0M RAUM · 18 reps · 646-363-6433 · lpkinvestmentgroup.com
60
FOCUSED TRADING AND INVESTMENTS, INC. — (location n/a) left the SEC roster (was $10,000 RAUM, 1 reps). IAPD ↗
$10,000 RAUM · 1 reps · 919-608-1259 · focusedtrading.com
60
ATLANTIC WEALTH PARTNERS, LLC — (JUPITER, FL) left the SEC roster (was $198.1M RAUM, 4 reps). IAPD ↗
$198.1M RAUM · 4 reps · 561-632-0566 · atlanticwp.com
60
21PEAKS CAPITAL MANAGEMENT, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $618,799 RAUM, 5 reps). IAPD ↗
$618,799 RAUM · 5 reps · 833-948-6937
60
HEMISTA INC. — (BOSTON, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 617-817-4663
60
WEALTHGAP — (location n/a) left the SEC roster (was $40,719 RAUM, 1 reps). IAPD ↗
$40,719 RAUM · 1 reps · 917-831-0242 · ewealthgap.com
60
EARLYBIRD CENTRAL INC. — (location n/a) left the SEC roster (was $14.0M RAUM, 1 reps). IAPD ↗
$14.0M RAUM · 1 reps · (347) 469-8150 · getearlybird.io
60
UNIFIMONEY RIA, INC. — (location n/a) left the SEC roster (was $62,000 RAUM, 2 reps). IAPD ↗
$62,000 RAUM · 2 reps · 415-964-5877
60
OAKHURST CAPITAL ADVISORS, LLC — (WASHINGTON, DC) left the SEC roster (was $5.7M RAUM, 3 reps). IAPD ↗
$5.7M RAUM · 3 reps · 202-839-4910
60
ELITE RETIREMENT GROUP — (PLOVER, WI) left the SEC roster (was $168.4M RAUM, 4 reps). IAPD ↗
$168.4M RAUM · 4 reps · 715-341-8899
60
DINERAZO INC. — (NORTH MIAMI, FL) left the SEC roster (was $7,500 RAUM, 1 reps). IAPD ↗
$7,500 RAUM · 1 reps · 503-804-4654 · dinerazo.com
60
DOUBLE I INVESTMENTS, LLC — (location n/a) left the SEC roster (was $50,000 RAUM, 1 reps). IAPD ↗
$50,000 RAUM · 1 reps · 385-528-4042 · gamepick.com
60
FINTRON ADVISORS, LLC — (STAMFORD, CT) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 203-557-4458 · fintroninvest.com
60
GIBERTINI, ANTHONY — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 219-380-9363 · anthonygibertini.carrd.co
60
EARTHQUAKE — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 617-866-7489 · earth-quake.us
60
OFF CAMBER CREATIVE LLC — (PROSPECT, KY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 502-496-4316
60
SOUND ADVICE FINANCIAL INC. — (BANNOCKBURN, IL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 312-690-4163 · soundadvice.ai
60
TREASURY INTERACTIVE INVESTMENT ADVISERS LLC — (BROOKLYN, NY) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 6466853046
60
DECODE FINANCE LLC — (PALO ALTO, CA) left the SEC roster (was $1,000 RAUM, 1 reps). IAPD ↗
$1,000 RAUM · 1 reps · 408-500-8242 · decode.finance
60
ARCH OTC LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 954-261-3960 · arch.finance
60
MM ADVISORS, LLC — (AUBURN, AL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 334-887-7022
60
SCOUT WEALTH ADVISORS LLC — (PASADENA, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 844-839-9100 · scoutwa.com
60
LANMAR CAPITAL MANAGEMENT — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $1.8M RAUM, 1 reps). IAPD ↗
$1.8M RAUM · 1 reps · 347-409-1302 · lanmarcapital.com
60
PECUSAVVY FINANCIAL — (EL PASO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $9.1M RAUM, 1 reps). IAPD ↗
$9.1M RAUM · 1 reps · (915) 944-1850 · pecusavvyfinancial.com
55
ANDINA ADVISORS — shrank from 13 to 6 advisory reps. IAPD ↗
$1.26B RAUM · 6 reps · (435) 250 3700
55
EVERTERN WEALTH, LLC — shrank from 5 to 2 advisory reps. IAPD ↗
$1.56B RAUM · 2 reps · 239-508-7700 · everternwealth.com
53
RIVERPLACE CAPITAL MANAGEMENT INC — shrank from 5 to 3 advisory reps. IAPD ↗
$267.4M RAUM · 3 reps · 904-346-3460 · riverplacecapital.com
53
CASTLE WEALTH MANAGEMENT — shrank from 6 to 3 advisory reps. IAPD ↗
$430.1M RAUM · 3 reps · 561-686-9604
53
TRUE WEALTH DESIGN, LLC — shrank from 8 to 6 advisory reps. IAPD ↗
$494.0M RAUM · 6 reps · (330) 777-0688
53
HFG WEALTH MANAGEMENT, LLC — shrank from 6 to 3 advisory reps. IAPD ↗
$505.6M RAUM · 3 reps · 832-585-0110 · hfgwm.com
53
TSFG, LLC — shrank from 13 to 7 advisory reps. IAPD ↗
$997.2M RAUM · 7 reps · 847-735-7100
53
AURORA PRIVATE WEALTH, INC. — shrank from 16 to 12 advisory reps. IAPD ↗
$374.0M RAUM · 12 reps · 973-394-0404
53
BDFS CAPITAL LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$411.3M RAUM · 7 reps · 302-265-2236 · blackdiamondfs.com
53
RETIREMENT PLANNING SOLUTIONS, LLC — shrank from 8 to 5 advisory reps. IAPD ↗
$467.0M RAUM · 5 reps · 502-499-5668
50
SMITH GROUP ASSET MANAGEMENT, LLC — reported RAUM down 36% ($2.21B -> $1.41B). IAPD ↗
$1.41B RAUM · 12 reps · 214-880-4600 · cantorassetmanagement.com
50
FUNDIFY ADVISORS LLC — shrank from 6 to 3 advisory reps. IAPD ↗
$888,512 RAUM · 3 reps · 512-645-1010 · fundify.com
48
GRAVITALIX FINANCIAL — reported RAUM down 27% ($542.5M -> $395.2M). IAPD ↗
$395.2M RAUM · 1 reps · 646-732-0299
45
V DELIMA INVESTMENTS INC — reported RAUM down 38% ($102.0M -> $63.3M). IAPD ↗
$63.3M RAUM · 1 reps · 305-484-2403
45
EMETH VALUE CAPITAL, LLC — reported RAUM down 70% ($193.7M -> $57.4M). IAPD ↗
$57.4M RAUM · 1 reps · 210-381-7262
53
SUNFLOWER WEALTH ADVISORS LLC — (SALINA, KS) left the SEC roster (was $812.8M RAUM, 3 reps). IAPD ↗institutional
$812.8M RAUM · 3 reps · 844-882-0193
53
REGENTS PARK FUNDS, LLC — (IRVINE, CA) left the SEC roster (was $433.0M RAUM, 4 reps). IAPD ↗institutional
$433.0M RAUM · 4 reps · 949-891-0600 · regentsparkfunds.com
50
BNP PARIBAS ASSET MANAGEMENT USA, INC. — (NEW YORK, NY) left the SEC roster (was $48.44B RAUM, 68 reps). IAPD ↗fund
$48.44B RAUM · 68 reps · 212-681-3181 · bnpparibas-am.com
50
SMITH GROUP ASSET MANAGEMENT — (DALLAS, TX) left the SEC roster (was $182.2M RAUM, 10 reps). IAPD ↗institutional
$182.2M RAUM · 10 reps · 214-880-4600
50
REGATTA LOAN MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $3.33B RAUM, 0 reps). IAPD ↗fund
$3.33B RAUM · 0 reps · 212-235-0700
50
ALPHAQUEST LLC — (NEW YORK, NY) left the SEC roster (was $2.21B RAUM, 20 reps). IAPD ↗fund
$2.21B RAUM · 20 reps · (212) 838-7222
50
TWO SIGMA VENTURES, LP — (NEW YORK, NY) left the SEC roster (was $2.23B RAUM, 14 reps). IAPD ↗fund
$2.23B RAUM · 14 reps · (212) 625-5700 · twosigmaventures.com
50
8 KNOTS MANAGEMENT, LLC — (DALLAS, TX) left the SEC roster (was $2.03B RAUM, 1 reps). IAPD ↗fund
$2.03B RAUM · 1 reps · 646-379-0396
50
FINEQUITIES LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · N/A · finequities.com
50
FINANCE FRIENDS — (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · (424) 262-8340 · financefriends.org
50
FINSIE — (BELMONT, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 650-262-1863
50
CLEARUP LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 617-545-5160 · clearupthis.com
50
WEALTH BUILDER FUNDS LLC — (CARY, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 847-639-7830
50
MIDBRIDGE ADVISORS LP — (DENVER, CO) left the SEC roster (was $0 RAUM, 12 reps). IAPD ↗institutional
$0 RAUM · 12 reps · 303-454-5453 · midbridge.com
50
FMAC MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-798-6100 · fortress.com
50
HURRICANE ADVISOR SOLUTIONS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-702-7101 · hurricaneadvisorsolutions.io
50
SPA RIA — (SANTA MONICA, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 617 817-5344
50
BERENSON CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · (212) 935 7676
48
SPUR CAPITAL PARTNERS — (BARTLESVILLE, OK) left the SEC roster (was $879.9M RAUM, 5 reps). IAPD ↗fund
$879.9M RAUM · 5 reps · 918-331-3800 · spurcap.com
48
TALARA CAPITAL MANAGEMENT, LLC — (MONTCLAIR, NJ) left the SEC roster (was $317.6M RAUM, 2 reps). IAPD ↗fund
$317.6M RAUM · 2 reps · 845-213-8224 · talaracapital.com
45
ALCION VENTURES, L.P. — (BURLINGTON, MA) left the SEC roster (was $153.8M RAUM, 3 reps). IAPD ↗fund
$153.8M RAUM · 3 reps · 617-603-1000 · alcionventures.com
45
VANSHAP CAPITAL, LLC — (ARLINGTON, VA) left the SEC roster (was $76.7M RAUM, 2 reps). IAPD ↗fund
$76.7M RAUM · 2 reps · (571) 933-6950 · vanshapcapital.com
45
HUDSON EXECUTIVE CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $178.1M RAUM, 1 reps). IAPD ↗fund
$178.1M RAUM · 1 reps · 212-521-8495
45
CHANGE FORCES — (PORTOLA VALLEY, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · (202) 413-4222
45
FIDEM CREDIT ADVISORS — (PHILADELPHIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗fund
$0 RAUM · 5 reps · (215) 413-3170
45
ALPHA ONE ASSET MANAGEMENT LLC — (PASADENA, CA) left the SEC roster (was $114.7M RAUM, 2 reps). IAPD ↗fund
$114.7M RAUM · 2 reps · 213-688-8000
40
GRAHAM PARTNERS, LLC — shrank from 86 to 81 advisory reps. IAPD ↗fund
$5.00B RAUM · 81 reps · 610-408-0500 · gci-graham.com
40
CONSEQUENT CAPITAL MANAGEMENT, LLC — shrank from 6 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · (404) 883-2500 · consequentgroup.com
40
GREENPOINT PARTNERS — shrank from 9 to 7 advisory reps. IAPD ↗fund
$1.35B RAUM · 7 reps · 5163175972 · greenpointpartners.com
35
PINNACLE ASSET MANAGEMENT, L.P. — reported RAUM down 30% ($8.89B -> $6.23B). IAPD ↗fund
$6.23B RAUM · 10 reps · 212-750-1778 · pinnacle-lp.com
35
INVESCO — (TORONTO, ONTARIO, Canada) left the SEC roster (was $19.87B RAUM, 7 reps). IAPD ↗foreign
$19.87B RAUM · 7 reps · 1-800-874-6275
35
BOUSSARD & GAVAUDAN INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) left the SEC roster (was $3.68B RAUM, 4 reps). IAPD ↗foreign
$3.68B RAUM · 4 reps · +44-203-751-5400 · boussard-gavaudan.com
33
MERIT CAPITAL PARTNERS MANAGEMENT, L.L.C. — reported RAUM down 31% ($1.44B -> $991.1M). IAPD ↗fund
$991.1M RAUM · 16 reps · 312-592-6111
30
KELLY PARK INVESTMENT LLC — reported RAUM down 41% ($241.5M -> $141.5M). IAPD ↗fund
$141.5M RAUM · 3 reps · 212 710 4111 · kellyparkcapital.com
30
AMVOY WEALTH — (DUBLIN, Ireland) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗foreign
$0 RAUM · 0 reps · +353 86 8225100 · amvoywealth.com
30
ALAMUT CAPITAL — (TORONTO, Canada) left the SEC roster (was $123,392 RAUM, 1 reps). IAPD ↗foreign
$123,392 RAUM · 1 reps · 647 574 4093 · alamut.capital
25
MCINROY & WOOD LIMITED — shrank from 22 to 16 advisory reps. IAPD ↗foreign
$2.39B RAUM · 16 reps · 44 01620 825867 · mcinroy-wood.co.uk
23
ASTRA ASSET MANAGEMENT UK LIMITED — shrank from 11 to 8 advisory reps. IAPD ↗foreign
$425.8M RAUM · 8 reps · +44 (0)20 3189 9700
23
ESCHLER ASSET MANAGEMENT LLP — shrank from 31 to 25 advisory reps. IAPD ↗foreign
$588.1M RAUM · 25 reps · 447775824595
18
NIPPON VALUE INVESTORS — reported RAUM down 34% ($898.5M -> $591.3M). IAPD ↗foreign
$591.3M RAUM · 6 reps · 011-813-6692-5992 · nippon-value.com

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.