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M&A & valuation — September 2026

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

96 firms opened this window in the September 2026 SEC roster: 76 deregistered, 13 headcount down, 7 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
CAPITAL ADVISORS, INC. — (TULSA, OK) left the SEC roster (was $7.43B RAUM, 35 reps). IAPD ↗
$7.43B RAUM · 35 reps · (866) 230-5879 · capadvfunds.com
65
TEACHERS ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $436.33B RAUM, 296 reps). IAPD ↗
$436.33B RAUM · 296 reps · 212-490-9000
65
CHARTER OAK CAPITAL MANAGEMENT — (PORTSMOUTH, NH) left the SEC roster (was $1.57B RAUM, 13 reps). IAPD ↗
$1.57B RAUM · 13 reps · 800-646-5720
65
GIA PARTNERS, LLC. — (NEW YORK, NY) left the SEC roster (was $1.06B RAUM, 5 reps). IAPD ↗
$1.06B RAUM · 5 reps · 212-893-7810 · giallc.com
65
ANFIELD CAPITAL MANAGEMENT, LLC — (IRVINE, CA) left the SEC roster (was $2.16B RAUM, 7 reps). IAPD ↗
$2.16B RAUM · 7 reps · 949-891-0600 · anfieldfunds.com
65
LWM ADVISORY SERVICES, LLC — (PLANTATION, FL) left the SEC roster (was $1.09B RAUM, 8 reps). IAPD ↗
$1.09B RAUM · 8 reps · 954-474-7100 · lwmfl.com
65
WADDELL & ASSOCIATES, LLC — (MEMPHIS, TN) left the SEC roster (was $2.38B RAUM, 9 reps). IAPD ↗
$2.38B RAUM · 9 reps · 901-767-9187 · vimeo.com
65
ONE CHARLES PRIVATE WEALTH — (HINGHAM, MA) left the SEC roster (was $1.09B RAUM, 5 reps). IAPD ↗
$1.09B RAUM · 5 reps · 617-337-4208 · focusfinancialpartners.com
63
PALOUSE CAPITAL MANAGEMENT, INC. — (SPOKANE, WA) left the SEC roster (was $408.5M RAUM, 2 reps). IAPD ↗
$408.5M RAUM · 2 reps · (509) 624-5591 · palousecap.com
63
HSC WEALTH ADVISORS — (FOREST, VA) left the SEC roster (was $449.2M RAUM, 9 reps). IAPD ↗
$449.2M RAUM · 9 reps · 434-316-9356 · hscwealthadvisors.com
63
IMS CAPITAL MANAGEMENT — (CLACKAMAS, OR) left the SEC roster (was $380.9M RAUM, 7 reps). IAPD ↗
$380.9M RAUM · 7 reps · 503-788-4200
63
SEASCAPE CAPITAL MANAGEMENT,LLC — (PORTSMOUTH, NH) left the SEC roster (was $466.9M RAUM, 3 reps). IAPD ↗
$466.9M RAUM · 3 reps · (603)964-4480 · seascape-capital.com
63
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC — (PHOENIX, AZ) left the SEC roster (was $538.8M RAUM, 7 reps). IAPD ↗
$538.8M RAUM · 7 reps · 952-831-8243 · brettmachtig.com
63
CORDANT WEALTH PARTNERS — (PORTLAND, OR) left the SEC roster (was $370.5M RAUM, 5 reps). IAPD ↗
$370.5M RAUM · 5 reps · (503) 621-9207 · cordantwealth.com
63
FINANCIALLY IN TUNE — (STONEHAM, MA) left the SEC roster (was $326.2M RAUM, 4 reps). IAPD ↗
$326.2M RAUM · 4 reps · 781-587-0582 · financiallyintune.com
63
THE O'DONNELL GROUP — (CHICO, CA) left the SEC roster (was $492.0M RAUM, 2 reps). IAPD ↗
$492.0M RAUM · 2 reps · 530-564-0960
63
HOLISTIC FINANCIAL PARTNERS, LLC — (INDIANAPOLIS, IN) left the SEC roster (was $444.6M RAUM, 4 reps). IAPD ↗
$444.6M RAUM · 4 reps · 317-550-3400 · holisticfinancialpartners.com
63
SENECA HOUSE ADVISORS — (RICHMOND, VA) left the SEC roster (was $506.1M RAUM, 4 reps). IAPD ↗
$506.1M RAUM · 4 reps · (804) 332-6574 · senecahouseadvisors.com
63
MIRAMAR CAPITAL — (NORTHBROOK, IL) left the SEC roster (was $550.3M RAUM, 3 reps). IAPD ↗
$550.3M RAUM · 3 reps · 847-291-7300
63
RUNNING POINT CAPITAL ADVISORS LLC — (EL SEGUNDO, CA) left the SEC roster (was $745.6M RAUM, 6 reps). IAPD ↗
$745.6M RAUM · 6 reps · 424-502-3501 · runningpointcapital.com
63
EATON FINANCIAL GROUP — (CORAL SPRINGS, FL) left the SEC roster (was $382.2M RAUM, 1 reps). IAPD ↗
$382.2M RAUM · 1 reps · 954-575-9323
63
TRUE VISION FINANCIAL ADVISORS — (WOODBURY, MN) left the SEC roster (was $271.7M RAUM, 3 reps). IAPD ↗
$271.7M RAUM · 3 reps · 612-256-2208 · truevisionadvice.com
63
EVERNEST FINANCIAL ADVISORS — (CARMEL, IN) left the SEC roster (was $963.0M RAUM, 5 reps). IAPD ↗
$963.0M RAUM · 5 reps · 317-556-1015 · evernestfa.com
60
PROFIT INVESTMENTS — (NORTH BETHESDA, MD) left the SEC roster (was $26.8M RAUM, 2 reps). IAPD ↗
$26.8M RAUM · 2 reps · 301-650-0059
60
HFG ADVISORS — (GREENWOOD VILLAGE, CO) left the SEC roster (was $108.8M RAUM, 4 reps). IAPD ↗
$108.8M RAUM · 4 reps · 303-369-3800 · hfgcolorado.com
60
AMERICAN ASSET MANAGEMENT INC. — (BOCA RATON, FL) left the SEC roster (was $153.3M RAUM, 1 reps). IAPD ↗
$153.3M RAUM · 1 reps · 561-955-8500 · americanasset.com
60
EAGLESON ARNDT FINANCIAL ADVISORS — (THOUSAND OAKS, CA) left the SEC roster (was $106.6M RAUM, 1 reps). IAPD ↗
$106.6M RAUM · 1 reps · 805-496-8450
60
DIPSEA CAPITAL, LLC — (MILL VALLEY, CA) left the SEC roster (was $61.3M RAUM, 1 reps). IAPD ↗
$61.3M RAUM · 1 reps · 415-925-9022
60
UP FINTECH ASSET MANAGEMENT — (NEWTOWN SQUARE, PA) left the SEC roster (was $1.5M RAUM, 2 reps). IAPD ↗
$1.5M RAUM · 2 reps · 480-631-4700 · upfintecham.com
60
DIAMOND WEALTH MANAGEMENT, LLC — (ALPINE, UT) left the SEC roster (was $212.0M RAUM, 6 reps). IAPD ↗
$212.0M RAUM · 6 reps · 801-216-4811 · diamondwealthmgt.com
60
MARATHON WEALTH MANAGEMENT, INC. — (MELVILLE, NY) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · (631) 760-8385 · marathonwealth.net
60
KOWALSKI FINANCIAL INC. — (MINNEAPOLIS, MN) left the SEC roster (was $202.0M RAUM, 2 reps). IAPD ↗
$202.0M RAUM · 2 reps · 952-297-8589
60
CLEARVIEW WEALTH ADVISORS, LLC — (SALEM, OR) left the SEC roster (was $201.8M RAUM, 2 reps). IAPD ↗
$201.8M RAUM · 2 reps · 503-400-7800
60
TROVE INVESTMENT ADVISORS LLC — (DALLAS, TX) left the SEC roster (was $387,586 RAUM, 1 reps). IAPD ↗
$387,586 RAUM · 1 reps · 469-655-0025 · troveadvisors.com
60
REDMONT WEALTH — (CHICAGO, IL) left the SEC roster (was $4.8M RAUM, 1 reps). IAPD ↗
$4.8M RAUM · 1 reps · 312-848-1136
60
UNITY WEALTH PARTNERS — (NEWPORT BEACH, CA) left the SEC roster (was $7.1M RAUM, 2 reps). IAPD ↗
$7.1M RAUM · 2 reps · (949) 688-0928 · unitywealthpartners.com
60
HERBEIN FINANCIAL GROUP, LLC — (ALLENTOWN, PA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
60
AURORA WEALTH ADVISORS — (SAN DIEGO, CA) left the SEC roster (was $148.8M RAUM, 2 reps). IAPD ↗
$148.8M RAUM · 2 reps · 858-326-0046 · aurorawealth.com
60
ACCESS CAPITAL, LLC — (WICHITA, KS) left the SEC roster (was $105.6M RAUM, 1 reps). IAPD ↗
$105.6M RAUM · 1 reps · 316-633-8013 · accesscapitaladvisors.com
60
INNOVATIVE FAMILY OFFICE LLC — (SOMERS, NY) left the SEC roster (was $65.8M RAUM, 8 reps). IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
60
EMPOWER PRIVATE WEALTH — (NEW YORK, NY) left the SEC roster (was $34.5M RAUM, 1 reps). IAPD ↗
$34.5M RAUM · 1 reps · 941-340-0404 · empowerpw.com
60
US FINANCIAL PLANNERS, LLC — (ASHEVILLE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 7 reps). IAPD ↗
$0 RAUM · 7 reps · 980-286-1170 · usfinancialplanners.com
60
EMBERVEST — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 322-536-2326 · embervest.com
60
GRAY LION CAPITAL — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps). IAPD ↗
$7.0M RAUM · 1 reps · 480-284-0384 · graylioncapital.com
60
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $39.6M RAUM, 2 reps). IAPD ↗
$39.6M RAUM · 2 reps · 415-234-0470
60
PROPEL PRIVATE WEALTH LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $2.8M RAUM, 1 reps). IAPD ↗
$2.8M RAUM · 1 reps · (424) 222-5767 · propelprivatewealth.com
60
JM FINANCIAL PRIVATE WEALTH, INC. — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 1-332-900-4958
55
NOTTINGHAM ADVISORS INC. — shrank from 9 to 7 advisory reps. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
55
TEAMWORK FINANCIAL ADVISORS, LLC — shrank from 14 to 11 advisory reps. IAPD ↗
$1.01B RAUM · 11 reps · 210-687-1333 · teamworkfinancial.com
55
VENTURI PRIVATE WEALTH — shrank from 19 to 12 advisory reps. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
55
FAITHWARD CAPITAL — shrank from 3 to 1 advisory reps. IAPD ↗
$1.18B RAUM · 1 reps · (844) 970-4055 · sevenonesevencapital.com
53
LAS OLAS CAPITAL ADVISORS, LLC — shrank from 7 to 4 advisory reps. IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
53
RICHMOND INVESTMENT SERVICES LLC — shrank from 14 to 11 advisory reps. IAPD ↗
$453.2M RAUM · 11 reps · 262-242-4200
53
LAS OLAS CAPITAL WEALTH LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$269.1M RAUM · 4 reps · 954 289 4692 · lasolascap.com
50
INTEGRATED FINANCIAL STRATEGIES, LLC — shrank from 5 to 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 954-526-8339
50
SOONER PRIVATE FINANCIAL LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$9.0M RAUM · 1 reps · 603-321-6531
48
WAYPOINT WEALTH COUNSEL LLC — reported RAUM down 47% ($824.3M -> $433.3M). IAPD ↗
$433.3M RAUM · 3 reps · 404-955-7481 · waypointwc.com
48
TSFG, LLC — reported RAUM down 36% ($997.2M -> $642.8M). IAPD ↗
$642.8M RAUM · 6 reps · 847-735-7100
48
LAS OLAS CAPITAL ADVISORS, LLC — reported RAUM down 52% ($551.9M -> $267.2M). IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
45
PENSERRA GLOBAL INVESTORS LLC — reported RAUM down 100% ($96.2M -> $2). IAPD ↗
$2 RAUM · 10 reps · 800-456-8850 · penserra.com
45
MFT WEALTH MANAGEMENT — reported RAUM down 78% ($136.3M -> $30.6M). IAPD ↗
$30.6M RAUM · 1 reps · 617-800-7922
55
EPFC CAPITAL PARTNERS — (NEW YORK, NY) left the SEC roster (was $1.99B RAUM, 11 reps). IAPD ↗institutional
$1.99B RAUM · 11 reps · 929-447-0490 · epfc.capital
50
STONERIDGE INVESTMENT PARTNERS — (RADNOR, PA) left the SEC roster (was $152.3M RAUM, 6 reps). IAPD ↗institutional
$152.3M RAUM · 6 reps · 484-254-5400 · stoneridgeinvestments.com
50
MAZARS WEALTH ADVISORS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 212-812-7000
50
CANTILLON CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $22.77B RAUM, 8 reps). IAPD ↗fund
$22.77B RAUM · 8 reps · 212-603-3300 · cantillon.com
50
INSIGHT INVESTMENT RESEARCH — (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · +44 203 397 9182 · insightir.com
50
ONE STONE GLOBAL LLC — (BOSTON, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 347-264-2399 · onestoneglobal.com
50
ADLER ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $4.4M RAUM, 1 reps). IAPD ↗institutional
$4.4M RAUM · 1 reps · 646-571-2595 · adlervaluefund.com
50
QUADRATURE US INC. — (NEW YORK, NY) left the SEC roster (was $28.80B RAUM, 120 reps). IAPD ↗fund
$28.80B RAUM · 120 reps · 2125164800
50
MPACT CAPITAL — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 917-348-8649 · mpactcap.com
50
SANDPATH LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 914 886 3119
50
FORVM GLOBAL INVESTMENTS LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-713-1680 EXT 3 · forvmglobal.com
50
ORION PARTNERS, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 3107952188
48
OAKUM BAY CAPITAL, LLC — (location n/a) left the SEC roster (was $374.0M RAUM, 1 reps). IAPD ↗fund
$374.0M RAUM · 1 reps · 475-477-3301 · oakumbaycapital.com
48
VOLT INVESTMENT HOLDINGS LLC — (BROOKLYN, NY) left the SEC roster (was $383.5M RAUM, 4 reps). IAPD ↗fund
$383.5M RAUM · 4 reps · 917-983-0505 · voltinvestmentholdings.com
48
SYMBIOSIS CAPITAL PARTNERS, LLC — (BENTONVILLE, AR) left the SEC roster (was $357.2M RAUM, 6 reps). IAPD ↗fund
$357.2M RAUM · 6 reps · 4793786655
48
TAPROOT MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $940.1M RAUM, 15 reps). IAPD ↗fund
$940.1M RAUM · 15 reps · (646) 846-4427 · taprootmanagement.com
45
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C. — (SUGAR LAND, TX) left the SEC roster (was $23.5M RAUM, 1 reps). IAPD ↗fund
$23.5M RAUM · 1 reps · 281-778-4900 · rmpwm.com
45
LIONSTONE INVESTMENTS — (BOSTON, MA) left the SEC roster (was $224.4M RAUM, 0 reps). IAPD ↗fund
$224.4M RAUM · 0 reps · 8002252365 · lionstoneinvestments.com
45
MIURA GLOBAL MANAGEMENT, LLC — (location n/a) left the SEC roster (was $150.2M RAUM, 3 reps). IAPD ↗fund
$150.2M RAUM · 3 reps · 212-984-8832
45
AMS CHILDREN'S FUND, LP — (location n/a) left the SEC roster (was $15.2M RAUM, 1 reps). IAPD ↗fund
$15.2M RAUM · 1 reps · 214-716-0786 · amsopportunities.com
45
ARCTIS GLOBAL LLC — (location n/a) left the SEC roster (was $106.0M RAUM, 1 reps). IAPD ↗fund
$106.0M RAUM · 1 reps · 001 787 525 9031 · arctisglobal.com
45
FLATIRON FUND MANAGEMENT LP — (WEST PALM BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $27.3M RAUM, 2 reps). IAPD ↗fund
$27.3M RAUM · 2 reps · 561-412-4929 · flatironassets.com
45
MRWM CAPITAL MANAGEMENT, LLC — (NASHVILLE, TN) left the SEC roster (was $8.8M RAUM, 2 reps). IAPD ↗fund
$8.8M RAUM · 2 reps · (615) 647-5882
45
VIRIDIAN CAPITAL — (PURCHASE, NY) left the SEC roster (was $33.2M RAUM, 5 reps). IAPD ↗fund
$33.2M RAUM · 5 reps · 914-589-5969
45
MPI INFINITE INVESTORS, LLC — (GILBERT, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 480-695-3214 · mpiinfiniteinvestors.com
45
HAVEN CAPITAL ADVISORS, LLC — (CHARLOTTE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $5.4M RAUM, 1 reps). IAPD ↗fund
$5.4M RAUM · 1 reps · 704-926-2018
45
CALLODINE STRATEGIC CREDIT FUND III MANAGEMENT, LLC — (ATLANTA, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗fund
$0 RAUM · 4 reps · 404-795-6468 · callodinesbic.com
45
MERK INVESTMENTS LLC — shrank from 5 to 3 advisory reps. IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
40
MERK INVESTMENTS LLC — reported RAUM down 32% ($3.71B -> $2.54B). IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
40
PETERSON PARTNERS — shrank from 27 to 20 advisory reps. IAPD ↗fund
$2.63B RAUM · 20 reps · 801-417-0748 · petersonpartners.com
38
AETHON ENERGY MANAGEMENT — shrank from 14 to 7 advisory reps. IAPD ↗fund
$700.1M RAUM · 7 reps · 214-750-3820
38
DEEPWATER ASSET MANAGEMENT, LLC — shrank from 8 to 5 advisory reps. IAPD ↗fund
$566.5M RAUM · 5 reps · 612-424-1393
35
RICHARD BERNSTEIN ADVISORS LLC — reported RAUM down 95% ($3.79B -> $180.8M). IAPD ↗institutional
$180.8M RAUM · 7 reps · 212-692-4000 · rbadvisors.com
35
CANTILLON CAPITAL MANAGEMENT LLP — (LONDON, United Kingdom) left the SEC roster (was $22.77B RAUM, 6 reps). IAPD ↗foreign
$22.77B RAUM · 6 reps · 44 (0) 20 7811 4100 · cantillon.com
30
ETNA CAPITAL — (HONG KONG, Hong Kong) left the SEC roster (was $143.3M RAUM, 5 reps). IAPD ↗foreign
$143.3M RAUM · 5 reps · 85228188309 · etnalabs.co

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.