Financial planning software — July 2024
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
212 firms opened this window in the July 2024 SEC roster: 92 new registration, 49 headcount up, 42 aum up, 21 pending approved, 6 planning clients up, 2 planning started.
98
CAUSEY WEALTH LLC — (location n/a) is newly SEC-registered with $292.5M RAUM and 6 advisory reps. IAPD ↗
95
STEVE LYNCH WEALTH MANAGEMENT — (ALBUQUERQUE, NM) is newly SEC-registered with $133.7M RAUM and 4 advisory reps. IAPD ↗
95
CONWAY FINANCIAL GROUP, LLC — (CHESTERFIELD, MO) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL ADVISORY SERVICES — (SALT LAKE CITY, UT) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
AWR INVESTMENT MANAGEMENT, LLC — (SAN RAFAEL, CA) is newly SEC-registered with $115.8M RAUM and 1 advisory reps. IAPD ↗
95
SENSIBLE PORTFOLIOS, LLC — (location n/a) is newly SEC-registered with $156.5M RAUM and 2 advisory reps. IAPD ↗
95
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC — (LISLE, IL) is newly SEC-registered with $110.2M RAUM and 15 advisory reps. IAPD ↗
95
MZ CAPITAL, LLC — (location n/a) is newly SEC-registered with $132.4M RAUM and 2 advisory reps. IAPD ↗
95
NEWPORT WEALTH ADVISORS, INC. — (NEWPORT BEACH, CA) is newly SEC-registered with $140.4M RAUM and 7 advisory reps. IAPD ↗
95
COLOMB INVESTMENT MANAGEMENT COMPANY, LLC — (METAIRIE, LA) is newly SEC-registered with $1.6M RAUM and 4 advisory reps. IAPD ↗
95
PRINCE ASSET MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
WILLIAMS WEALTH MANAGEMENT GROUP, INC. — (BRADENTON, FL) is newly SEC-registered with $148.0M RAUM and 2 advisory reps. IAPD ↗
95
PINGORA PARTNERS LLC — (DALLAS, TX) is newly SEC-registered with $135.7M RAUM and 1 advisory reps. IAPD ↗
95
RYDAR EQUITIES, INC. — (WEATHERFORD, TX) is newly SEC-registered with $112.0M RAUM and 2 advisory reps. IAPD ↗
95
WELCY CAPITAL ADVISORS LLC — (MIAMI, FL) is newly SEC-registered with $150.6M RAUM and 3 advisory reps. IAPD ↗
95
KOOB WEALTH MANAGEMENT, LLC — (WHITE BEAR TOWNSHIP, MN) is newly SEC-registered with $125.8M RAUM and 2 advisory reps. IAPD ↗
95
HUMBLE CAPITAL MANAGEMENT LLC — (HONOLULU, HI) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
95
BARRETT WEALTH CONNECTION LLC — (SPRING GROVE, IL) is newly SEC-registered with $123.9M RAUM and 2 advisory reps. IAPD ↗
95
RBF CAPITAL MANAGEMENT, INC. — (SARASOTA, FL) is newly SEC-registered with $107.1M RAUM and 1 advisory reps. IAPD ↗
95
TENCAP WEALTH COACHING — (SOUTH JORDAN, UT) is newly SEC-registered with $0 RAUM and 10 advisory reps. IAPD ↗
95
STEEL TOWER INVESTMENTS — (PITTSBURGH, PA) is newly SEC-registered with $115.6M RAUM and 4 advisory reps. IAPD ↗
95
MCBEATH FINANCIAL GROUP — (NORMAL, IL) is newly SEC-registered with $160.2M RAUM and 5 advisory reps. IAPD ↗
95
BRIGHT WEALTH MANAGEMENT, LLC — (LEWISVILLE, TX) is newly SEC-registered with $160.0M RAUM and 5 advisory reps. IAPD ↗
95
BOON CAPITAL ADVISORS LLC — (NORTHBROOK, IL) is newly SEC-registered with $146.9M RAUM and 1 advisory reps. IAPD ↗
95
CATALYST WEALTH ADVISORS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $132.4M RAUM and 1 advisory reps. IAPD ↗
95
DANIEL KRUG & ASSOCIATES — (CLARKSTON, MI) is newly SEC-registered with $116.6M RAUM and 2 advisory reps. IAPD ↗
95
GERVAIS CAPITAL MANAGEMENT, LLC — (WILSON, WY) is newly SEC-registered with $116.1M RAUM and 1 advisory reps. IAPD ↗
95
FIDUCIARY WEALTH GROUP, LLC — (CENTERVILLE, OH) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
ENGLEBERT FINANCIAL ADVISERS, LLC — (ALLENTOWN, PA) is newly SEC-registered with $125.2M RAUM and 2 advisory reps. IAPD ↗
95
JRB CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $130.7M RAUM and 1 advisory reps. IAPD ↗
95
WEALTHSPAN INVESTMENT MANAGEMENT, LLC — (GRAND RAPIDS, MI) is newly SEC-registered with $7.2M RAUM and 2 advisory reps. IAPD ↗
95
MAIDEN COVE CAPITAL — (CAPE ELIZABETH, ME) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
HDA WEALTH MANAGEMENT, LLC — (POLAND, OH) is newly SEC-registered with $102.1M RAUM and 2 advisory reps. IAPD ↗
95
INTENTIONAL FUNDS — (PRINCETON, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRAZOS WEALTH ADVISORS LLC — (IOWA PARK, TX) is newly SEC-registered with $111.7M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE ADVISORS LLC — (FAYETTEVILLE, AR) is newly SEC-registered with $182.6M RAUM and 7 advisory reps. IAPD ↗
95
ALPHA VEE ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
RELATION WEALTH MANAGEMENT, INC. — (TULSA, OK) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
ASG ADVISORY, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PROSPERA CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARMONY WEALTH PARTNERS — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
BRADY MARTZ WEALTH SOLUTIONS, LLC — (GRAND FORKS, ND) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
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DOUGLASS INVESTMENT GROUP — (WICHITA, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TORO WEST CAPITAL ADVISORS — (LOUISVILLE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
STORYONE FAMILY OFFICE — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
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BELMONT PRIVATE WEALTH — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
917 ADVISORY SERVICES LLC — (SPOKANE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
A&M PRIVATE WEALTH PARTNERS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARKWOODS WEALTH PARTNERS, LLC — (SYRACUSE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
HIGHROAD WEALTH ADVISORS, LLC — (COOS BAY, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
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NEWERA WEALTH — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MUNIFI, LLC — (HERMOSA BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WALTON FINANCIAL — (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MAKE THE MEMORY FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
KONZA GLOBAL WEALTH GROUP — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LEE-KELLEHER WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROMEN CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
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TOTAL WEALTH SERVICES, LLC — (WESTLAKE VILLAGE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
OWL CREEK WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BOYER FINANCIAL SERVICES, INC. — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
85
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST — grew from 144 to 168 advisory reps. IAPD ↗
85
CERITY PARTNERS OCIO LLC — grew from 0 to 21 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 285 to 315 advisory reps. IAPD ↗
80
LUTHER KING CAPITAL MANAGEMENT CORPORATION — now offers financial planning (Item 5G(1)). IAPD ↗
78
RICHMOND INVESTMENT SERVICES LLC — grew from 11 to 21 advisory reps. IAPD ↗
75
PERIGON WEALTH MANAGEMENT, LLC — grew from 72 to 77 advisory reps. IAPD ↗
75
MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. — grew from 7 to 12 advisory reps. IAPD ↗
75
COMPASS RETIREMENT GROUP LLC — now offers financial planning (Item 5G(1)). IAPD ↗
73
RICHMOND INVESTMENT SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
73
IMPACT CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
73
ADVANTAGE RETIREMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
73
ATLAS LEGACY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
71
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 8 to 14 advisory reps. IAPD ↗
70
CYGNUS CAPITAL ADVISERS, LLC — reported RAUM up 147% ($47.5M -> $117.3M). IAPD ↗
70
CORNERSTONE ALTERNATIVES — reported RAUM up 104% ($50.7M -> $103.3M). IAPD ↗
70
FULL FINANCIAL INC. — reported RAUM up 98% ($110.0M -> $217.5M). IAPD ↗
70
NICOLLET INVESTMENT MANAGEMENT, INC. — grew from 5 to 7 advisory reps. IAPD ↗
70
MARIDEA WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
BBVA GLOBAL WEALTH ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
70
TORREN MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
BLACK POINT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
DOUBLE FINANCE INC. — 's provisional registration is now fully approved. IAPD ↗
70
RDG CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
SALUS FINANCIAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
SILVER LAKE CAPITAL PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
CORNERSTONE ALTERNATIVES — 's provisional registration is now fully approved. IAPD ↗
70
RESHAPE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
BIGELOW INVESTMENT ADVISORS, LLC — reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
70
ZURAW FINANCIAL ADVISORS, LLC — reports 101-250 financial-planning clients, up from 1-10. IAPD ↗
70
THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
68
CARDEA CAPITAL ADVISORS, LLC — reported RAUM up 68% ($79.3M -> $133.3M). IAPD ↗
68
COMPASS RETIREMENT GROUP LLC — grew from 3 to 6 advisory reps. IAPD ↗
67
INVEST CAPITAL PARTNERS — grew from 5 to 7 advisory reps. IAPD ↗
67
LORD AND RICHARDS — grew from 5 to 7 advisory reps. IAPD ↗
67
TORREN MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
64
PGP WEALTH SERVICES, LLC — reports 26-50 financial-planning clients, up from 0. IAPD ↗
63
LUTHER KING CAPITAL MANAGEMENT CORPORATION — reports 1-10 financial-planning clients, up from 0. IAPD ↗
61
RDG CAPITAL MANAGEMENT LLC — reports 11-25 financial-planning clients, up from 0. IAPD ↗
60
LORD AND RICHARDS — reported RAUM up 27% ($75.4M -> $95.5M). IAPD ↗
90
RCM GA MANAGER LLC — (NEW YORK, NY) is newly SEC-registered with $1.24B RAUM and 20 advisory reps. IAPD ↗institutional
85
PRECIDIAN FUNDS LLC — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
EAST BEACH ASSET MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered with $125.0M RAUM and 1 advisory reps. IAPD ↗institutional
85
NORTHAMPTON CAPITAL PARTNERS — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
CONNETIC VENTURES — (COVINGTON, KY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
S2G VENTURES — (CHICAGO, IL) is newly SEC-registered with $2.57B RAUM and 45 advisory reps. IAPD ↗fund
85
TWIN OAK ETF COMPANY — (NATICK, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MFG PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
VENERABLE INVESTMENT ADVISERS, LLC — (WEST CHESTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
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LITTLE RIVER CAPITAL PARTNERS, LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
PL3 CAPITAL LP — (SUNNY ISLES BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RIPPLE EFFECT ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SOPHRON CAPITAL MANAGEMENT — (SUMMIT, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
GLADE CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
DIADEMA PARTNERS LP — (MORRISTOWN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
OCTANE INVESTMENTS INC. — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $500.0M RAUM and 2 advisory reps. IAPD ↗fund
80
PANORAMIC CAPITAL, LLC — (LARKSPUR, CA) is newly SEC-registered with $209.9M RAUM and 3 advisory reps. IAPD ↗fund
80
FACTORIAL PARTNERS, LLC — (MT. KISCO, NY) is newly SEC-registered with $177.9M RAUM and 1 advisory reps. IAPD ↗fund
80
BREACH INLET CAPITAL MANAGEMENT, LLC — (MT. PLEASANT, SC) is newly SEC-registered with $135.9M RAUM and 2 advisory reps. IAPD ↗fund
80
SAF ADVISORS LLC — (location n/a) is newly SEC-registered with $121.4M RAUM and 2 advisory reps. IAPD ↗fund
80
SEMANTEON CAPITAL MANAGEMENT, LP — (NEWTON, MA) is newly SEC-registered with $195.0M RAUM and 2 advisory reps. IAPD ↗fund
80
BH3 FUND ADVISORS, LLC — (FORT LAUDERDALE, FL) is newly SEC-registered with $175.5M RAUM and 8 advisory reps. IAPD ↗fund
80
CARR'S HILL PARTNERS — (NEW ORLEANS, LA) is newly SEC-registered with $177.1M RAUM and 6 advisory reps. IAPD ↗fund
80
CF CAPITAL LLC — (location n/a) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗fund
80
WALK-ON CAPITAL, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 advisory reps. IAPD ↗fund
80
ASCENDANCE ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
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68
TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP — (VANCOUVER, BC, Canada) is newly SEC-registered with $415.7M RAUM and 6 advisory reps. IAPD ↗foreign
67
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ETNA CAPITAL — (HONG KONG, Hong Kong) is newly SEC-registered with $20.4M RAUM and 3 advisory reps. IAPD ↗foreign
65
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COPPER PLACE GLOBAL CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
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DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC. — reported RAUM up 49% ($187.9M -> $280.7M). IAPD ↗fund
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50
FIRST ASSOCIATED INVESTMENT ADVISORS, INC. — reported RAUM up 26% ($32.5M -> $41.1M). IAPD ↗institutional
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KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — reported RAUM up 82% ($2.88B -> $5.24B). IAPD ↗foreign
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MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED — reported RAUM up 65% ($6.71B -> $11.09B). IAPD ↗foreign
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INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. — reported RAUM up 61% ($6.38B -> $10.25B). IAPD ↗foreign
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KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — grew from 5 to 7 advisory reps. IAPD ↗foreign
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NOMURA ASSET MANAGEMENT SINGAPORE LIMITED — reported RAUM up 37% ($10.07B -> $13.85B). 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.