Financial planning software — May 2024
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
252 firms opened this window in the May 2024 SEC roster: 165 new registration, 33 headcount up, 23 pending approved, 21 aum up, 8 planning clients up, 2 planning started.
98
LAFISE SECURITIES CORPORATION — (MIAMI, FL) is newly SEC-registered with $736.0M RAUM and 1 advisory reps. IAPD ↗
98
LETSON INVESTMENT MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $261.5M RAUM and 2 advisory reps. IAPD ↗
98
FOUNDER FAMILY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $270.8M RAUM and 1 advisory reps. IAPD ↗
98
CLEARWELL ADVISORS, LLC — (TAMPA, FL) is newly SEC-registered with $362.1M RAUM and 6 advisory reps. IAPD ↗
98
FREEDOM FIDUCIARIES LLC — (BOISE, ID) is newly SEC-registered with $263.8M RAUM and 2 advisory reps. IAPD ↗
98
SELBY LANE CAPITAL, LLC — (MENLO PARK, CA) is newly SEC-registered with $276.4M RAUM and 5 advisory reps. IAPD ↗
95
HAROLD DANCE INVESTMENTS — (LOGAN, UT) is newly SEC-registered with $119.0M RAUM and 7 advisory reps. IAPD ↗
95
U. S. BOSTON CAPITAL CORPORATION — (LINCOLN, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NETWORTH ASSET MANAGEMENT, INC — (location n/a) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
95
RDM CAPITAL ASSOCIATES INC — (RED BANK, NJ) is newly SEC-registered with $107.1M RAUM and 3 advisory reps. IAPD ↗
95
COOK FINANCIAL DESIGNS, INC. — (VIRGINIA BEACH, VA) is newly SEC-registered with $115.0M RAUM and 1 advisory reps. IAPD ↗
95
WHITE & COMPANY FINANCIAL PLANNING, INC. — (SUNNYSIDE, WA) is newly SEC-registered with $115.5M RAUM and 5 advisory reps. IAPD ↗
95
CARMICHAEL CREEL INVESTMENTS — (FRANKLIN, TN) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
THE WEALTH ADVANTAGE GROUP, INC. — (COLUMBUS, OH) is newly SEC-registered with $125.5M RAUM and 2 advisory reps. IAPD ↗
95
MEYER GATES FINANCIAL ADVISORS, INC — (WEST CHESTER, OH) is newly SEC-registered with $142.0M RAUM and 6 advisory reps. IAPD ↗
95
FINANCIAL DISCOVERY — (ATLANTA, GA) is newly SEC-registered with $100.6M RAUM and 3 advisory reps. IAPD ↗
95
MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC — (OLD TAPPAN, NJ) is newly SEC-registered with $119.6M RAUM and 2 advisory reps. IAPD ↗
95
SANDERS & SCOTT, CHFC — (WATKINSVILLE, GA) is newly SEC-registered with $119.1M RAUM and 2 advisory reps. IAPD ↗
95
PALISADES INVESTMENT PARTNERS, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $117.5M RAUM and 1 advisory reps. IAPD ↗
95
PIVOT POINT ADVISORS, LLC — (BELLAIRE, TX) is newly SEC-registered with $120.6M RAUM and 2 advisory reps. IAPD ↗
95
THE PRACTICAL PLANNER — (GROTON, MA) is newly SEC-registered with $108.9M RAUM and 2 advisory reps. IAPD ↗
95
CLARION ADVISORS INC. — (AUBURN, CA) is newly SEC-registered with $105.5M RAUM and 2 advisory reps. IAPD ↗
95
HAWKINS INVESTMENT COUNSEL, LLC — (location n/a) is newly SEC-registered with $124.3M RAUM and 1 advisory reps. IAPD ↗
95
INDEPENDENT PROGRESSIVE ADVISORS, LLC — (PORTLAND, OR) is newly SEC-registered with $104.3M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL MANAGEMENT LLC — (BURLINGTON, MA) is newly SEC-registered with $113.9M RAUM and 3 advisory reps. IAPD ↗
95
ROOKWOOD WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $126.3M RAUM and 1 advisory reps. IAPD ↗
95
CORNERSTONE WEALTH PARTNERS, LLC — (OKEMOS, MI) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗
95
HIGH POINT WEALTH MANAGEMENT, LLC — (CHESTER, NJ) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
95
COLTON WEALTH MANAGEMENT — (ARCADIA, CA) is newly SEC-registered with $107.2M RAUM and 2 advisory reps. IAPD ↗
95
COLLAR CAPITAL MANAGEMENT, LLC — (APPLETON, WI) is newly SEC-registered with $113.5M RAUM and 2 advisory reps. IAPD ↗
95
LANIER FINANCIAL GROUP LLC — (ATHENS, GA) is newly SEC-registered with $127.8M RAUM and 5 advisory reps. IAPD ↗
95
BALANCED ASSET STRATEGIES, LTD. — (LA GRANGE, IL) is newly SEC-registered with $121.7M RAUM and 2 advisory reps. IAPD ↗
95
MBIA CAPITAL ADVISORS — (CINCINNATI, OH) is newly SEC-registered with $135.2M RAUM and 3 advisory reps. IAPD ↗
95
MOUNTAIN VIEW STRATEGIC WEALTH, LLC — (HOPEWELL JUNCTION, NY) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
95
SANKALA GROUP LLC — (location n/a) is newly SEC-registered with $105.2M RAUM and 3 advisory reps. IAPD ↗
95
INKWELL CAPITAL — (location n/a) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
FORTY THREE EIGHTEEN ADVISORS, LLC — (BENTONVILLE, AR) is newly SEC-registered with $105.7M RAUM and 1 advisory reps. IAPD ↗
95
T&T CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $131.4M RAUM and 4 advisory reps. IAPD ↗
95
FOUR TREE ISLAND ADVISORY LLC — (PORTSMOUTH, NH) is newly SEC-registered with $122.5M RAUM and 1 advisory reps. IAPD ↗
95
PEAPOD LANE CAPITAL LLC — (BEDFORD HILLS, NY) is newly SEC-registered with $63.5M RAUM and 2 advisory reps. IAPD ↗
95
PRAKASH INVESTMENT ADVISORS LLC — (location n/a) is newly SEC-registered with $120.8M RAUM and 1 advisory reps. IAPD ↗
95
SUMMER CREEK WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $34.3M RAUM and 1 advisory reps. IAPD ↗
95
TIMMONS WEALTH MANAGEMENT — (ATTLEBORO, MA) is newly SEC-registered with $114.8M RAUM and 1 advisory reps. IAPD ↗
95
LANDMARK WEALTH ADVISORS, LLC — (FARMINGTON, UT) is newly SEC-registered with $108.3M RAUM and 2 advisory reps. IAPD ↗
95
OAKTREE ADVISORS LLC — (COOPERSBURG, PA) is newly SEC-registered with $116.2M RAUM and 3 advisory reps. IAPD ↗
95
MAGELLAN FINANCIAL SOLUTIONS LLC — (WARWICK, NY) is newly SEC-registered with $26.7M RAUM and 1 advisory reps. IAPD ↗
95
ERISA ADVISERS, INC. — (BRENTWOOD, TN) is newly SEC-registered with $145.6M RAUM and 1 advisory reps. IAPD ↗
95
BROWN CAPITAL MANAGEMENT, LLC — (LITTLE ROCK, AR) is newly SEC-registered with $131.2M RAUM and 3 advisory reps. IAPD ↗
95
PERISSOS PRIVATE WEALTH MANAGEMENT — (BETHANY, OK) is newly SEC-registered with $141.7M RAUM and 3 advisory reps. IAPD ↗
95
EASTGATE CAPITAL ADVISORS LLC — (WINNETKA, IL) is newly SEC-registered with $132.5M RAUM and 3 advisory reps. IAPD ↗
95
FLOYD FINANCIAL GROUP LLC — (SPRINGFIELD, MO) is newly SEC-registered with $118.3M RAUM and 2 advisory reps. IAPD ↗
95
GUIDE WEALTH MANAGEMENT — (location n/a) is newly SEC-registered with $27.2M RAUM and 1 advisory reps. IAPD ↗
95
CLARITY FINANCIAL PLANNERS — (CLAYTON, MO) is newly SEC-registered with $111.2M RAUM and 1 advisory reps. IAPD ↗
95
COOMBS WEALTH ADVISORY, LLC — (BLUE BELL, PA) is newly SEC-registered with $145.3M RAUM and 2 advisory reps. IAPD ↗
95
BOUNTIFUL INVESTMENT MANAGEMENT LLC — (RUMFORD, RI) is newly SEC-registered with $106.1M RAUM and 3 advisory reps. IAPD ↗
95
SILICON PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $117.3M RAUM and 4 advisory reps. IAPD ↗
95
RETIREWISE TAX AND WEALTH ADVISORS, INC. — (TOPEKA, KS) is newly SEC-registered with $115.3M RAUM and 5 advisory reps. IAPD ↗
95
SAFE HARBOR WEALTH ADVISORS, LLC — (DUBLIN, OH) is newly SEC-registered with $101.6M RAUM and 3 advisory reps. IAPD ↗
95
DAVIMAN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $103.6M RAUM and 2 advisory reps. IAPD ↗
95
STRATEGIC WEALTH ADVISORS GROUP, INC. — (UTICA, MI) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
95
ANTONELLI FINANCIAL ADVISORS, LLC — (GROSSE POINTE, MI) is newly SEC-registered with $139.3M RAUM and 3 advisory reps. IAPD ↗
95
RING MOUNTAIN CAPITAL, LLC — (TIBURON, CA) is newly SEC-registered with $138.2M RAUM and 1 advisory reps. IAPD ↗
95
BOERUM HILL FINANCIAL ADVISORS LLC — (BROOKLYN, NY) is newly SEC-registered with $28.3M RAUM and 1 advisory reps. IAPD ↗
95
DAVIDSON KAHN CAPITAL MANAGEMENT, LLC — (SHERMAN OAKS, CA) is newly SEC-registered with $103.3M RAUM and 3 advisory reps. IAPD ↗
95
TWIN GRYPHON ADVISORS LLC — (MARSHFIELD, MA) is newly SEC-registered with $107.9M RAUM and 1 advisory reps. IAPD ↗
95
VAN CLEMENS WEALTH MANAGEMENT, LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $105.9M RAUM and 16 advisory reps. IAPD ↗
95
LEATHERBACK INVESTMENTS LLC — (LAKEWOOD, NJ) is newly SEC-registered with $139.7M RAUM and 2 advisory reps. IAPD ↗
95
WHITE SAND WEALTH MANAGEMENT — (LIBERTY, MO) is newly SEC-registered with $111.3M RAUM and 3 advisory reps. IAPD ↗
95
VISTA CIMA WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $103.2M RAUM and 3 advisory reps. IAPD ↗
95
PEERLESS WEALTH — (COLUMBUS, OH) is newly SEC-registered with $87.8M RAUM and 2 advisory reps. IAPD ↗
95
SYNERGY INVESTMENT MANAGEMENT LLC — (ALTAMONTE SPRINGS, FL) is newly SEC-registered with $101.6M RAUM and 5 advisory reps. IAPD ↗
95
JK PRIVATE WEALTH, LLC — (GLASTONBURY, CT) is newly SEC-registered with $107.3M RAUM and 1 advisory reps. IAPD ↗
95
CAYSIDE PARTNERS — (JUPITER, FL) is newly SEC-registered with $162.5M RAUM and 4 advisory reps. IAPD ↗
95
RIDGELINE WEALTH PLANNING LLC — (CENTERVILLE, OH) is newly SEC-registered with $147.4M RAUM and 2 advisory reps. IAPD ↗
95
MANER WEALTH — (LANSING, MI) is newly SEC-registered with $172.7M RAUM and 5 advisory reps. IAPD ↗
95
TRUMIX ADVISORS — (BLOOMINGTON, MN) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
95
GRANTVEST FINANCIAL GROUP LLC — (MATAWAN, NJ) is newly SEC-registered with $107.0M RAUM and 4 advisory reps. IAPD ↗
95
INTENTIONAL RETIREMENT, LLC — (OMAHA, NE) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
95
ELITE RETIREMENT GROUP — (PLOVER, WI) is newly SEC-registered with $115.2M RAUM and 4 advisory reps. IAPD ↗
95
TARGET ROCK WEALTH MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $44.5M RAUM and 2 advisory reps. IAPD ↗
95
PRIVATE FINANCIAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $105.5M RAUM and 1 advisory reps. IAPD ↗
95
MILLER AVENUE ADVISORS LLC — (MILL VALLEY, CA) is newly SEC-registered with $123.2M RAUM and 3 advisory reps. IAPD ↗
95
PASSIVE MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $25.7M RAUM and 1 advisory reps. IAPD ↗
95
VERUS FINANCIAL GROUP — (HOUSTON, TX) is newly SEC-registered with $100.7M RAUM and 5 advisory reps. IAPD ↗
95
LIBERTY ONE WEALTH ADVISORS — (PHILADELPHIA, PA) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
95
TWIN CITY PRIVATE WEALTH, LLC — (WINSTON-SALEM, NC) is newly SEC-registered with $110.9M RAUM and 3 advisory reps. IAPD ↗
95
RPR FINANCIAL — (OVERLAND PARK, KS) is newly SEC-registered with $118.5M RAUM and 3 advisory reps. IAPD ↗
95
THE WEALTH BOUTIQUE — (CHESTER, NJ) is newly SEC-registered with $100.2M RAUM and 7 advisory reps. IAPD ↗
95
ENTREWEALTH — (AUSTIN, TX) is newly SEC-registered with $174.7M RAUM and 4 advisory reps. IAPD ↗
95
NUCLO WEALTH — (HOUSTON, TX) is newly SEC-registered with $185.0M RAUM and 3 advisory reps. IAPD ↗
95
ONESOURCE WEALTH MANAGEMENT — (GRANITE BAY, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
CROWN POINT WEALTH ADVISORS — (HOOD RIVER, OR) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
95
ENTRUST INVESTMENT SERVICES, INC — (CAMPBELL, CA) is newly SEC-registered with $91.6M RAUM and 2 advisory reps. IAPD ↗
95
ATLAS INVESTMENT ADVISORS — (ALPHARETTA, GA) is newly SEC-registered with $100.7M RAUM and 2 advisory reps. IAPD ↗
95
MOMENT ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
WYZE WEALTH ADVISORS, LLC — (CANONSBURG, PA) is newly SEC-registered with $219.0M RAUM and 1 advisory reps. IAPD ↗
95
CATALYST WEALTH MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗
95
FAIRVOY PRIVATE WEALTH, LLC — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
FUTUREMONEY RIA — (MANCHESTER, NH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
LINCOLN PARK CAPITAL LLC — (OLEAN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ACME JACK WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SYNTHETICFI LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
FUNDAMENTAL INVESTMENT SERVICES, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FINFARE ADVISORS — (IRVINE, CA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
ARC ADVISORY LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps. IAPD ↗
95
VERIDIAN PRIVATE WEALTH MANAGEMENT — (WARRENVILLE, IL) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗
95
MURPHY CLARKE WILLIAMS & STONE LLC — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WEALTHCARE CAPITAL PARTNERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NAPLES WEALTH PLANNING — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗
95
KILTER GROUP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BERLIN WEALTH GROUP ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
SMART STEPS WEALTH MANAGEMENT LLC — (ST. LOUIS, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OVERLOCK CAPITAL LLC — (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
BIP ALLIANCE, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
WELLTH ADVISORY SERVICES, LLC — (SHOREWOOD, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ROXBURY FINANCIAL — (MOUNT ARLINGTON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
FULL FINANCIAL INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $110.0M RAUM and 2 advisory reps. IAPD ↗
95
RESHAPE, LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SUMMITAS INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MONOLITH HOLDINGS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ORG WEALTH PARTNERS — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — grew from 60 to 80 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 255 to 285 advisory reps. IAPD ↗
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 52 to 74 advisory reps. IAPD ↗
85
F/M INVESTMENTS LLC — grew from 8 to 35 advisory reps. IAPD ↗
83
CONSOLIDATED PLANNING CORPORATION — grew from 9 to 22 advisory reps. IAPD ↗
83
SOVRAN ADVISORS, LLC — grew from 2 to 45 advisory reps. IAPD ↗
78
WAVERLY ADVISORS, LLC — grew from 84 to 92 advisory reps. IAPD ↗
78
SANCTUARY ADVISORS, LLC — grew from 309 to 317 advisory reps. IAPD ↗
78
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 106 to 114 advisory reps. IAPD ↗
77
IHT WEALTH MANAGEMENT LLC — grew from 139 to 146 advisory reps. IAPD ↗
75
F/M INVESTMENTS LLC — reported RAUM up 118% ($5.88B -> $12.85B). IAPD ↗
75
BAER WEALTH MANAGEMENT — now offers financial planning (Item 5G(1)). IAPD ↗
73
G.W. SHERWOLD ASSOCIATES, INC. — reported RAUM up 183% ($133.0M -> $376.7M). IAPD ↗
73
EMBREE FINANCIAL GROUP — grew from 10 to 13 advisory reps. IAPD ↗
73
LINDBERG & RIPPLE — 's provisional registration is now fully approved. IAPD ↗
73
DRUCKER WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
GREYKASELL WEALTH STRATEGIES, INC. — 's provisional registration is now fully approved. IAPD ↗
73
DRUCKER WEALTH — reports 101-250 financial-planning clients, up from 0. IAPD ↗
73
SOVRAN ADVISORS, LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
72
ST. BERNARD FINANCIAL SERVICES, INC. — grew from 23 to 30 advisory reps. IAPD ↗
72
CROSSINGBRIDGE ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
71
SINGER WEALTH ADVISORS LLC — grew from 9 to 12 advisory reps. IAPD ↗
70
R. F. LAFFERTY & CO., INC. — reported RAUM up 166% ($34.1M -> $90.9M). IAPD ↗
70
CROSSINGBRIDGE ADVISORS, LLC — reported RAUM up 51% ($1.84B -> $2.78B). IAPD ↗
70
BLUE BARN WEALTH — grew from 4 to 6 advisory reps. IAPD ↗
70
CAPSTONE CAPITAL WEALTH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
70
RIVERVIEW CAPITAL ADVISERS LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
TACTIVE ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
AZURA PARTNERS US LLC — 's provisional registration is now fully approved. IAPD ↗
70
RASP WEALTH SOLUTIONS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LONGEVITY CAPITAL MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
INDEPENDENT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ALLIED PRIVATE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
STONEPATH WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
POMONA WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
LEGACY CAPITAL GROUP CALIFORNIA, INC. — reports 251-500 financial-planning clients, up from 11-25. IAPD ↗
69
CARDEA CAPITAL ADVISORS, LLC — grew from 5 to 9 advisory reps. IAPD ↗
68
PRACTICECFO INVESTMENTS — reported RAUM up 51% ($262.2M -> $394.9M). IAPD ↗
67
TAR RIVER WEALTH PLANNING, LLC — reported RAUM up 49% ($220.2M -> $328.6M). IAPD ↗
67
TRINITY INVESTMENT MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗
67
LPF ADVISORS, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
WASHINGTON AVENUE ADVISORS — grew from 4 to 6 advisory reps. IAPD ↗
64
WHITE ROCK CAPITAL — reported RAUM up 49% ($97.3M -> $145.1M). IAPD ↗
64
LOCKWOOD WEALTH STRATEGIES, LLC — reports 26-50 financial-planning clients, up from 0. IAPD ↗
63
CAPITAL INVESTMENT COUNSEL INC — reported RAUM up 29% ($537.9M -> $691.5M). IAPD ↗
63
VESTBRIDGE ADVISORS, INC — reported RAUM up 28% ($234.5M -> $300.8M). IAPD ↗
63
ICA GROUP WEALTH MANAGEMENT, LLC — reports 11-25 financial-planning clients, up from 1-10. IAPD ↗
61
GEN FINANCIAL MANAGEMENT INC. — reports 1-10 financial-planning clients, up from 0. IAPD ↗
61
PRACTICECFO INVESTMENTS — reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
60
CAPITAL IDEAS — reported RAUM up 28% ($166.6M -> $213.7M). IAPD ↗
60
VILLAGE WEALTH ADVISORS — reported RAUM up 28% ($132.8M -> $170.5M). IAPD ↗
58
BAER WEALTH MANAGEMENT — reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
85
OPTIMIZED INVESTMENT PARTNERS, LLC — (location n/a) is newly SEC-registered with $140.0M RAUM and 2 advisory reps. IAPD ↗institutional
85
SPHINX INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
HARVEST GROWTH CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ACRE CAPITAL ADVISORS, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
5CLP ADVISOR — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
BAR POINT MANAGEMENT LIMITED PARTNERSHIP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CHURCHILL PCIF ADVISOR LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 66 advisory reps. IAPD ↗institutional
85
EMBLEM GROUP, L.P. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
DURATION CAPITAL PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
SHIKHARA INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MIDBRIDGE ADVISORS LP — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
85
PACIFIC COAST FIDUCIARY LLC — (SHERMAN OAKS, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
INDAGO CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
POLEN CAPITAL CLO MANAGEMENT, LLC — (WALTHAM, MA) is newly SEC-registered with $0 RAUM and 24 advisory reps. IAPD ↗institutional
85
5C ADVISOR — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TREMBLANT CAPITAL GROUP — (WEST PALM BEACH, FL) is newly SEC-registered with $0 RAUM and 9 advisory reps. IAPD ↗institutional
85
TALLVINE PARTNERS MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
PARADOXIOM CAPITAL — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ORG PARTNERS ASSET MANAGEMENT — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
ADAR1 CAPITAL MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $507.8M RAUM and 6 advisory reps. IAPD ↗fund
83
ELEQUIN CAPITAL, LP — (NEW YORK, NY) is newly SEC-registered with $353.4M RAUM and 10 advisory reps. IAPD ↗fund
83
ALTERNATIVE CAPITAL FUND MANAGEMENT LLC — (location n/a) is newly SEC-registered with $393.7M RAUM and 7 advisory reps. IAPD ↗fund
83
CAYMUS EQUITY PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered with $308.5M RAUM and 5 advisory reps. IAPD ↗fund
83
SETPOINT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $299.9M RAUM and 5 advisory reps. IAPD ↗fund
80
COPPERPLATE CAPITAL LLC — (MENLO PARK, CA) is newly SEC-registered with $158.0M RAUM and 2 advisory reps. IAPD ↗fund
80
CAPITAL UNITED, LLC — (HILLSBORO, OR) is newly SEC-registered with $159.3M RAUM and 0 advisory reps. IAPD ↗fund
80
CASTLEARK ALTERNATIVES, LLC — (CHICAGO, IL) is newly SEC-registered with $9.2M RAUM and 5 advisory reps. IAPD ↗fund
80
REB CAPITAL MANAGEMENT, LLC — (DALLAS, TX) is newly SEC-registered with $174.5M RAUM and 2 advisory reps. IAPD ↗fund
80
FINDELL CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $191.0M RAUM and 2 advisory reps. IAPD ↗fund
80
MAC ALPHA CAPITAL MANAGEMENT, LP — (TAMPA, FL) is newly SEC-registered with $107.4M RAUM and 4 advisory reps. IAPD ↗fund
80
IVY LANE CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $161.0M RAUM and 1 advisory reps. IAPD ↗fund
80
SEMINAL FOOD AND NUTRITION INVESTMENTS, LLC — (WAYNE, PA) is newly SEC-registered with $167.5M RAUM and 3 advisory reps. IAPD ↗fund
80
1 ROUNDTABLE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $28.5M RAUM and 10 advisory reps. IAPD ↗fund
80
ARCHITECT EQUITY — (EL SEGUNDO, CA) is newly SEC-registered with $102.2M RAUM and 17 advisory reps. IAPD ↗fund
80
SLW MANAGEMENT COMPANY — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
BEAR CREEK FUND ADVISORS LLC — (DENVER, CO) is newly SEC-registered with $0 RAUM and 8 advisory reps. IAPD ↗fund
80
CAPZONE MANAGEMENT LLC — (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
AGELLUS CAPITAL, LLC — (CLAYTON, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗fund
80
AVENTINE CAPITAL MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
70
66
65
FLAMEBACK CAPITAL USA, INC — (BENGALURU, KARNATAKA, India) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
BENNBRIDGE LTD — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗foreign
64
63
60
60
60
60
60
60
60
RIVER1 ASSET MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
59
58
58
55
55
55
55
55
55
51
51
50
50
48
48
40
39
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.