M&A & valuation — October 2026
RIA acquirers, investment bankers, valuation firms, and lenders.
104 firms opened this window in the October 2026 SEC roster: 73 deregistered, 19 headcount down, 12 aum down.
65
INGALLS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $7.83B RAUM, 50 reps). IAPD ↗
65
WESTEND ADVISORS, LLC — (CHARLOTTE, NC) left the SEC roster (was $1.87B RAUM, 7 reps). IAPD ↗
65
SACHETTA, LLC — (LYNNFIELD, MA) left the SEC roster (was $1.00B RAUM, 10 reps). IAPD ↗
65
STILLWATER CAPITAL ADVISORS, LLC — (DEVON, PA) left the SEC roster (was $1.34B RAUM, 4 reps). IAPD ↗
65
MOTLEY FOOL WEALTH MANAGEMENT, LLC — (ALEXANDRIA, VA) left the SEC roster (was $1.60B RAUM, 28 reps). IAPD ↗
65
WEALTHSHIELD PARTNERS, LLC — (CARY, NC) left the SEC roster (was $1.27B RAUM, 13 reps). IAPD ↗
65
U.S. CAPITAL WEALTH ADVISORS, LLC — (HOUSTON, TX) left the SEC roster (was $8.76B RAUM, 71 reps). IAPD ↗
65
EVOKE ADVISORS — (LOS ANGELES, CA) left the SEC roster (was $17.29B RAUM, 25 reps). IAPD ↗
65
SAGE TRADING COLLECTIVE — (location n/a) left the SEC roster (was $1.22B RAUM, 2 reps). IAPD ↗
63
BRAVE FAMILY ADVISORS — (SUMMIT, NJ) left the SEC roster (was $624.3M RAUM, 5 reps). IAPD ↗
63
HIGH FALLS ADVISORS, INC. — (ROCHESTER, NY) left the SEC roster (was $694.7M RAUM, 7 reps). IAPD ↗
63
WAGNER LOFTIN INVESTMENT SERVICES LLC — (PLEASANT HILL, CA) left the SEC roster (was $396.4M RAUM, 7 reps). IAPD ↗
63
HARVEST INVESTMENT CONSULTANTS LLC — (HUNT VALLEY, MD) left the SEC roster (was $549.0M RAUM, 5 reps). IAPD ↗
63
ARBOR CAPITAL MANAGEMENT INC — (ANCHORAGE, AK) left the SEC roster (was $372.5M RAUM, 6 reps). IAPD ↗
63
CAPSTONE WEALTH MANAGEMENT GROUP, LLC — (BEND, OR) left the SEC roster (was $266.1M RAUM, 5 reps). IAPD ↗
63
TRIPPON WEALTH MANAGEMENT GROUP LLC — (HOUSTON, TX) left the SEC roster (was $262.3M RAUM, 4 reps). IAPD ↗
63
NORTHERN CAPITAL RETIREMENT SERVICES, INC. — (SPOKANE, WA) left the SEC roster (was $304.2M RAUM, 8 reps). IAPD ↗
63
CENTRAL FAMILY ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $608.3M RAUM, 2 reps). IAPD ↗
63
SOCHA FINANCIAL GROUP, LLC — (CORNING, NY) left the SEC roster (was $430.0M RAUM, 3 reps). IAPD ↗
63
OPES WEALTH MANAGEMENT, LLC — (MENLO PARK, CA) left the SEC roster (was $822.3M RAUM, 5 reps). IAPD ↗
63
IAM ADVISORY LLC — (EASTON, PA) left the SEC roster (was $699.4M RAUM, 8 reps). IAPD ↗
60
COKER & PALMER — (JACKSON, MS) left the SEC roster (was $126.3M RAUM, 7 reps). IAPD ↗
60
EFS ASSET MANAGEMENT LLC — (DALLAS, TX) left the SEC roster (was $70.0M RAUM, 1 reps). IAPD ↗
60
MARIN WEALTH ADVISORS LLC — (SAN RAFAEL, CA) left the SEC roster (was $76.1M RAUM, 2 reps). IAPD ↗
60
GENESIS ASSET MANAGEMENT GROUP, INC. — (location n/a) left the SEC roster (was $86.6M RAUM, 1 reps). IAPD ↗
60
GVS FINANCIAL GROUP, INC. — (location n/a) left the SEC roster (was $118.0M RAUM, 1 reps). IAPD ↗
60
BILL LOSEY RETIREMENT SOLUTIONS, LLC — (location n/a) left the SEC roster (was $39.6M RAUM, 1 reps). IAPD ↗
60
MILLARES ASSET MANAGEMENT, LLC — (CORAL GABLES, FL) left the SEC roster (was $236.2M RAUM, 3 reps). IAPD ↗
60
FORTY THREE EIGHTEEN ADVISORS, LLC — (BENTONVILLE, AR) left the SEC roster (was $167.8M RAUM, 1 reps). IAPD ↗
60
FINANCIAL PLANNING ASSOCIATES, LLC — (WHITE PLAINS, NY) left the SEC roster (was $74.7M RAUM, 1 reps). IAPD ↗
60
U.S. PRIVATE WEALTH, LLC — (PALM BEACH GARDENS, FL) left the SEC roster (was $200.3M RAUM, 3 reps). IAPD ↗
60
BANYAN GLOBAL INVESTMENT ADVISORS, LLC — (BOCA RATON, FL) left the SEC roster (was $162.1M RAUM, 2 reps). IAPD ↗
60
DAVID P. GILLIAM & ASSOCIATES, INC. — (MUNCIE, IN) left the SEC roster (was $186.7M RAUM, 3 reps). IAPD ↗
60
SAPPHIRE BLUE INVESTMENT PARTNERS — (FENTON, MI) left the SEC roster (was $200.0M RAUM, 2 reps). IAPD ↗
60
WEALTHPLANS, LLC — (FREDERICK, MD) left the SEC roster (was $219.6M RAUM, 1 reps). IAPD ↗
60
PINNACLE WEALTH MANAGEMENT, LLC — (ROSEVILLE, CA) left the SEC roster (was $211.1M RAUM, 3 reps). IAPD ↗
60
LI ENTERPRISES — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗
60
PLUM POINTE WEALTH MANAGEMENT — (PROVIDENCE, RI) left the SEC roster (was $104.7M RAUM, 1 reps). IAPD ↗
60
STERLING LEGACY ADVISORS INC. — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
60
MRP ADVISORS, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $96.1M RAUM, 1 reps). IAPD ↗
60
NAPLES PRIVATE CAPITAL, LLC — (MOORESVILLE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗
55
FINANCIAL SECURITY ADVISORY INC — shrank from 43 to 37 advisory reps. IAPD ↗
55
TUTTLE CAPITAL MANAGEMENT, LLC — shrank from 10 to 8 advisory reps. IAPD ↗
55
EVANSON FINANCIAL, LLC DBA EVANSON ASSET MANAGEMENT — shrank from 8 to 4 advisory reps. IAPD ↗
53
QUINT CAPITAL MANAGEMENT — shrank from 15 to 9 advisory reps. IAPD ↗
53
EXCEL FINANCIAL, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
53
J. HAGAN CAPITAL, INC. — shrank from 10 to 6 advisory reps. IAPD ↗
50
URS ADVISORY — shrank from 6 to 4 advisory reps. IAPD ↗
48
STEINBERGANNA WEALTH MANAGEMENT LLC — reported RAUM down 26% ($496.4M -> $369.4M). IAPD ↗
45
INSIGHT SECURITIES, INC. — reported RAUM down 95% ($94.2M -> $4.4M). IAPD ↗
45
GS INVESTMENT INC — reported RAUM down 31% ($276.6M -> $192.2M). IAPD ↗
45
CRESCENT PARK MANAGEMENT, L.P. — reported RAUM down 77% ($234.4M -> $53.8M). IAPD ↗
45
BLACKRIDGE ASSET MANAGEMENT, LLC — reported RAUM down 41% ($370.3M -> $216.7M). IAPD ↗
45
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC — reported RAUM down 65% ($264.7M -> $92.7M). IAPD ↗
55
JOBS PEAK ADVISORS — (location n/a) left the SEC roster (was $73.58B RAUM, 1 reps). IAPD ↗institutional
50
CAPITAL MANAGEMENT ASSOCIATES INC — (NEW YORK, NY) left the SEC roster (was $68.7M RAUM, 3 reps). IAPD ↗institutional
50
50
50
CORRUM CAPITAL MANAGEMENT — (CHARLOTTE, NC) left the SEC roster (was $1.39B RAUM, 10 reps). IAPD ↗fund
50
TWO CREEKS CAPITAL MANAGEMENT, LP — (NEW YORK, NY) left the SEC roster (was $1.88B RAUM, 8 reps). IAPD ↗fund
50
50
50
THIRDLINE CAPITAL MANAGEMENT LLC — (RICHMOND, VA) left the SEC roster (was $64.3M RAUM, 6 reps). IAPD ↗institutional
50
ATOMIC VAULTS ADVISORS LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
50
OAKLAWN CAPITAL MANAGEMENT LLC — (location n/a) left the SEC roster (was $153.0M RAUM, 4 reps). IAPD ↗institutional
50
BLOCKBRIDGE INVESTMENTS LLC — (MINNEAPOLIS, MN) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
48
48
HARSPRING CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $459.1M RAUM, 3 reps). IAPD ↗fund
48
SPX CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $350.0M RAUM, 6 reps). IAPD ↗fund
48
COLLAB+CURRENCY MANAGEMENT, LLC — (location n/a) left the SEC roster (was $332.5M RAUM, 5 reps). IAPD ↗fund
48
INCLUSIVE CAPITAL PARTNERS, L.P. — (SAN FRANCISCO, CA) left the SEC roster (was $591.1M RAUM, 3 reps). IAPD ↗fund
48
BY CRYPTO MANAGEMENT, LLC — (LITTLE ROCK, AR) left the SEC roster (was $712.9M RAUM, 6 reps). IAPD ↗fund
48
GROUNDED CAPITAL, LLC — (MILL VALLEY, CA) left the SEC roster (was $520.0M RAUM, 7 reps). IAPD ↗fund
48
SOCOTRA MANAGEMENT, INC. — (SACRAMENTO, CA) left the SEC roster (was $388.5M RAUM, 4 reps). IAPD ↗fund
45
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45
45
45
BARRIER CAPITAL MANAGEMENT, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $136.0M RAUM, 1 reps). IAPD ↗fund
45
X CUBED CAPITAL MANAGEMENT LLC — (MINNEAPOLIS, MN) left the SEC roster (was $184.0M RAUM, 5 reps). IAPD ↗fund
45
OEW INVESTMENT ADVISORS LP — (AUSTIN, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
45
40
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40
35
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33
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33
CEDERBERG CAPITAL LIMITED — (LONDON, United Kingdom) left the SEC roster (was $684.6M RAUM, 2 reps). IAPD ↗foreign
33
CEDERBERG CAPITAL ASIA LIMITED — (TSIM SHA TSUI, KOWLOON, Hong Kong) left the SEC roster (was $684.6M RAUM, 3 reps). IAPD ↗foreign
30
30
ERGUS ASSET MANAGEMENT LTD. — (NASSAU, Bahamas, The) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗foreign
30
MOSAIC CAPITAL INC. — (GEORGE TOWN, GRAND CAYMAN, Cayman Islands) left the SEC roster (was $75.0M RAUM, 4 reps). IAPD ↗foreign
25
CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED — shrank from 26 to 21 advisory reps. IAPD ↗foreign
25
25
25
23
20
CALEDONIA (PRIVATE) INVESTMENTS PTY LIMITED — reported RAUM down 49% ($10.23B -> $5.25B). IAPD ↗foreign
20
18
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.