Financial planning software — September 2024
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
222 firms opened this window in the September 2024 SEC roster: 116 new registration, 41 pending approved, 33 headcount up, 22 aum up, 7 planning clients up, 3 planning started.
100
DIVERSIFIED, LLC — (WILMINGTON, DE) is newly SEC-registered with $1.55B RAUM and 25 advisory reps. IAPD ↗
100
CAUSEY PUBLIC FINANCE — (location n/a) is newly SEC-registered with $1.37B RAUM and 10 advisory reps. IAPD ↗
95
LPL ENTERPRISE, LLC — (FORT MILL, SC) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗
95
ALPINE WEALTH ADVISORS, LLC — (DENVER, CO) is newly SEC-registered with $102.5M RAUM and 1 advisory reps. IAPD ↗
95
LANE BROTHERS INVESTMENT COUNSEL — (PRESCOTT, AZ) is newly SEC-registered with $162.3M RAUM and 4 advisory reps. IAPD ↗
95
MICHAEL D. TAXMAN INVESTMENT MANAGEMENT — (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps. IAPD ↗
95
LEXINGTON INVESTMENT CONSULTING, LLC — (NASHVILLE, TN) is newly SEC-registered with $120.4M RAUM and 2 advisory reps. IAPD ↗
95
ALJEN ASSET MANAGEMENT LLC — (CEDAR KNOLLS, NJ) is newly SEC-registered with $126.5M RAUM and 1 advisory reps. IAPD ↗
95
INVESTOLOGY INC. — (RESTON, VA) is newly SEC-registered with $138.0M RAUM and 3 advisory reps. IAPD ↗
95
FRISCO FINANCIAL PLANNING — (location n/a) is newly SEC-registered with $109.8M RAUM and 1 advisory reps. IAPD ↗
95
SERVANT FINANCIAL, LTD. — (location n/a) is newly SEC-registered with $116.5M RAUM and 1 advisory reps. IAPD ↗
95
GRANITE CAPITAL — (OAKLAND, CA) is newly SEC-registered with $215.3M RAUM and 2 advisory reps. IAPD ↗
95
BROAD REACH CAPITAL LLC — (RALEIGH, NC) is newly SEC-registered with $110.7M RAUM and 2 advisory reps. IAPD ↗
95
COTE FINANCIAL MANAGEMENT — (location n/a) is newly SEC-registered with $120.0M RAUM and 1 advisory reps. IAPD ↗
95
STRATEGIC PORTFOLIO SOLUTIONS, LLC — (DALLAS, TX) is newly SEC-registered with $101.8M RAUM and 5 advisory reps. IAPD ↗
95
SERVO WEALTH MANAGEMENT LLC — (OKLAHOMA CITY, OK) is newly SEC-registered with $130.5M RAUM and 1 advisory reps. IAPD ↗
95
PARRISH CAPITAL, LLC — (KENNESAW, GA) is newly SEC-registered with $112.3M RAUM and 2 advisory reps. IAPD ↗
95
WOMACK FINANCIAL LLC — (DALLAS, TX) is newly SEC-registered with $110.5M RAUM and 2 advisory reps. IAPD ↗
95
L&S INVESTMENT ADVISORS, LLC — (MIAMI, FL) is newly SEC-registered with $130.6M RAUM and 5 advisory reps. IAPD ↗
95
VANWEELDEN WEALTH MANAGEMENT, LLC — (WEST CHESTER TOWNSHIP, OH) is newly SEC-registered with $104.0M RAUM and 2 advisory reps. IAPD ↗
95
MALVERN CAPITAL MANAGEMENT — (MALVERN, PA) is newly SEC-registered with $223.4M RAUM and 4 advisory reps. IAPD ↗
95
GRANT PRIVATE WEALTH MANAGEMENT — (PLEASANTON, CA) is newly SEC-registered with $105.8M RAUM and 3 advisory reps. IAPD ↗
95
MACERATIO LLC — (MIAMI, FL) is newly SEC-registered with $129.4M RAUM and 2 advisory reps. IAPD ↗
95
ATX FINANCIAL PLANNING, LLC — (AUSTIN, TX) is newly SEC-registered with $107.7M RAUM and 2 advisory reps. IAPD ↗
95
PMG FAMILY OFFICE, LLC — (PLANO, TX) is newly SEC-registered with $109.6M RAUM and 1 advisory reps. IAPD ↗
95
X ADVISORS, LLC — (SANTA MARIA, CA) is newly SEC-registered with $117.8M RAUM and 6 advisory reps. IAPD ↗
95
REAL TALK CAPITAL, LLC — (FRANKLIN, TN) is newly SEC-registered with $102.6M RAUM and 4 advisory reps. IAPD ↗
95
SCRATCH CAPITAL — (BOISE, ID) is newly SEC-registered with $114.6M RAUM and 3 advisory reps. IAPD ↗
95
FLATROCK WEALTH PARTNERS LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $115.2M RAUM and 2 advisory reps. IAPD ↗
95
BROOKLINE WEALTH, LLC — (AUSTIN, TX) is newly SEC-registered with $128.6M RAUM and 1 advisory reps. IAPD ↗
95
UNIFY FINANCIAL ADVISORS — (CLEARWATER, FL) is newly SEC-registered with $116.3M RAUM and 2 advisory reps. IAPD ↗
95
WAGNER WEALTH MANAGEMENT, CORP. — (SUGARLOAF, PA) is newly SEC-registered with $100.8M RAUM and 2 advisory reps. IAPD ↗
95
CLOUT CAPITAL — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LIFEGOAL WEALTH ADVISORS LLC — (location n/a) is newly SEC-registered with $82.0M RAUM and 3 advisory reps. IAPD ↗
95
EL MENUDO CUENTA LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — (SMITHTOWN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
KMT WEALTH MANAGEMENT, LLC — (EL SEGUNDO, CA) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
95
RHL GROUP, LLC — (HOLLY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
XXI WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
CASTLE ROCK ADVISORS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps. IAPD ↗
95
STEELE STREET CAPITAL LLC — (KITTERY, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TERRAFIRMA WEALTH PARTNERS — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SLO MONEY MANAGERS — (ATASCADERO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALECTRA WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
PLANWISER FINANCIAL — (COLORADO SPRINGS, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MFP FINANCIAL SERVICES — (SAFETY HARBOR, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BLUEHEEL LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
LIFELONG WEALTH ADVISORS, INC. — (ARDEN HILLS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
DECODE FINANCE LLC — (PALO ALTO, CA) is newly SEC-registered with $1,000 RAUM and 1 advisory reps. IAPD ↗
95
BEARING POINT CAPITAL — (BLOOMINGTON, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
DSG CAPITAL ADVISORS, LLC — (EDINA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
RAINIER FAMILY WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MOREY & QUINN WEALTH PARTNERS — (OMAHA, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BREAKTHRU ADVISORY SERVICES, LLC — (MUSKEGO, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OLD BRIDGE WEALTH, INC — (SYOSSET, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
LEGACY CAPITAL — (THE WOODLANDS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CORRALES & CO. — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BURLING WEALTH PARTNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ELEVATE PLANNERS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MANNA WEALTH MANAGEMENT — (MIAMI BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FORONJY FINANCIAL — (SANTA BARBARA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SERENITY CAPITAL ADVISORS INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PEAK WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TIDECREST WEALTH MANAGEMENT, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TRUE WEALTH GROUP — (BEND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MARTINSEN WEALTH MANAGEMENT — (TEMPE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
TRADEWELL SECURITIES, LLC — (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
LIBERTY SQUARE WEALTH PARTNERS LLC — (BETHLEHEM, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ADVISIFI LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
LIFT ASSET MANAGEMENT — (ENGLEWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PRASAD WEALTH PARTNERS — (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
CURA WEALTH ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CANTATA WEALTH MANAGEMENT, LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
VIRTUS WEALTH SOLUTIONS — (CRANFORD, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
ROUTE 20 PRIVATE WEALTH INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AVENTURA PRIVATE WEALTH, LLC — (AVENTURA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
COLDSTREAM WEALTH MANAGEMENT — grew from 125 to 141 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 630 to 660 advisory reps. IAPD ↗
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 122 to 138 advisory reps. IAPD ↗
80
TRB WEALTH MANAGEMENT, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
79
SIGNATURE EQUITY PARTNERS, LLC — reports More than 500 financial-planning clients, up from 0. IAPD ↗
77
503 CAPITAL PARTNERS, LLC — grew from 1 to 10 advisory reps. IAPD ↗
76
ORBA WEALTH ADVISORS, LLC — grew from 8 to 16 advisory reps. IAPD ↗
76
TRB WEALTH MANAGEMENT, LLC — grew from 8 to 14 advisory reps. IAPD ↗
75
EVOKE ADVISORS — reported RAUM up 100% ($13.36B -> $26.69B). IAPD ↗
75
BOULAY FINANCIAL ADVISORS, LLC — grew from 22 to 27 advisory reps. IAPD ↗
75
SANCTUARY ADVISORS, LLC — grew from 314 to 319 advisory reps. IAPD ↗
75
WELLTH ADVISORY SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
75
U. S. BOSTON CAPITAL CORPORATION — now offers financial planning (Item 5G(1)). IAPD ↗
75
SPHINX INVESTMENTS LLC — now offers financial planning (Item 5G(1)). IAPD ↗
73
INTEGRAL WEALTH MANAGEMENT — reported RAUM up 92% ($259.0M -> $497.1M). IAPD ↗
73
BLAKE SCHUTTER THEIL WEALTH ADVISORS, LLC — reported RAUM up 151% ($181.6M -> $456.5M). IAPD ↗
73
SIGNATURE EQUITY PARTNERS, LLC — reported RAUM up 151% ($100.0M -> $250.9M). IAPD ↗
73
EQUITA FINANCIAL NETWORK, INC. — grew from 8 to 13 advisory reps. IAPD ↗
73
ELYXIUM WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
73
SOVRAN ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
NAPLES WEALTH PLANNING — 's provisional registration is now fully approved. IAPD ↗
73
ZEGA INVESTMENTS — 's provisional registration is now fully approved. IAPD ↗
73
BIP ALLIANCE, LLC — 's provisional registration is now fully approved. IAPD ↗
73
HS WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
SCHMIDT FINANCIAL MANAGEMENT — reports 101-250 financial-planning clients, up from 0. IAPD ↗
73
BIP ALLIANCE, LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
72
WEALTHCARE CAPITAL PARTNERS, LLC — grew from 1 to 8 advisory reps. IAPD ↗
71
INVESTOR FAN — grew from 7 to 10 advisory reps. IAPD ↗
71
WHITAKER-MYERS WEALTH MANAGERS, LTD. — grew from 10 to 13 advisory reps. IAPD ↗
70
CAPITAL INNOVATIONS, LLC — reported RAUM up 87% ($109.1M -> $204.3M). IAPD ↗
70
STEWARD INC. — reported RAUM up 153% ($18.3M -> $46.4M). IAPD ↗
70
BBVA GLOBAL WEALTH ADVISORS, INC. — reported RAUM up 101% ($111.1M -> $222.8M). IAPD ↗
70
FAMILY LEGACY, INC. — grew from 10 to 12 advisory reps. IAPD ↗
70
LAUREL WEALTH ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
70
HENRICKSON NAUTA WEALTH ADVISORS, INC. — grew from 6 to 8 advisory reps. IAPD ↗
70
INTEGRAL WEALTH MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
70
OASIS WEALTH PLANNING ADVISORS — grew from 5 to 7 advisory reps. IAPD ↗
70
FORTITUDE FAMILY OFFICE — grew from 7 to 9 advisory reps. IAPD ↗
70
EIGHT 31 FINANCIAL, LLC — grew from 2 to 4 advisory reps. IAPD ↗
70
U. S. BOSTON CAPITAL CORPORATION — 's provisional registration is now fully approved. IAPD ↗
70
DIGITAL WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
GATEPASS CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
MKT AND ASSOCIATES LLC — 's provisional registration is now fully approved. IAPD ↗
70
ACME JACK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
FUNDAMENTAL INVESTMENT SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ARC ADVISORY LLC — 's provisional registration is now fully approved. IAPD ↗
70
MURPHY CLARKE WILLIAMS & STONE LLC — 's provisional registration is now fully approved. IAPD ↗
70
WEALTHCARE CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
KILTER GROUP — 's provisional registration is now fully approved. IAPD ↗
70
OVERLOCK CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
BINGHAM PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SUMMITAS INVESTMENT MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
ORG WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
WIMER INVESTMENT MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
HIGHROAD WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
TRUEHAVEN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
69
ORBA WEALTH ADVISORS, LLC — reported RAUM up 58% ($162.5M -> $257.1M). IAPD ↗
69
XYPN INVEST — grew from 10 to 14 advisory reps. IAPD ↗
68
TEEPLE SNYDER NEWSOME WEALTH MANAGEMENT — grew from 9 to 12 advisory reps. IAPD ↗
68
MORALIS TECHNOLOGIES, LLC — grew from 7 to 10 advisory reps. IAPD ↗
67
COLE WEALTH MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
WYZE WEALTH ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
66
RUBINBROWN ADVISORS LLC — reported RAUM up 32% ($2.35B -> $3.09B). IAPD ↗
66
STEWARD PARTNERS INVESTMENT ADVISORY, LLC — reported RAUM up 33% ($15.39B -> $20.43B). IAPD ↗
65
COLDSTREAM WEALTH MANAGEMENT — reported RAUM up 27% ($7.58B -> $9.66B). IAPD ↗
65
WEALTH MANAGEMENT CPAS, LLC — reported RAUM up 51% ($156.8M -> $236.1M). IAPD ↗
64
HENRICKSON NAUTA WEALTH ADVISORS, INC. — reported RAUM up 33% ($528.4M -> $702.7M). IAPD ↗
64
BONA FIDE WEALTH — reports 26-50 financial-planning clients, up from 0. IAPD ↗
63
FREEDOM FIDUCIARIES LLC — reported RAUM up 26% ($263.8M -> $331.6M). IAPD ↗
62
FOUNDATION CAPITAL MANAGEMENT, LLC — reported RAUM up 37% ($134.4M -> $184.4M). IAPD ↗
61
NAPLES WEALTH PLANNING — reports 1-10 financial-planning clients, up from 0. IAPD ↗
58
MKT AND ASSOCIATES LLC — reports 1-10 financial-planning clients, up from 0. IAPD ↗
85
GARDEN INVESTMENTS — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
STARTINVEST FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CORYELL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
UNIFI ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
ARINI CAPITAL MANAGEMENT US LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
BRYANT PARK FUNDING CLO MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 44 advisory reps. IAPD ↗institutional
85
VISTASHARES — (location n/a) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
WISDOM FIXED INCOME MANAGEMENT — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
RAVEN MUSIC PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
X CAPITAL ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
COMPOSITION CAPITAL LP — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
GQG PRIVATE CAPITAL SOLUTIONS LLC — (TACOMA, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
STONE POINT CREDIT INCOME ADVISER LLC — (GREENWICH, CT) is newly SEC-registered with $0 RAUM and 39 advisory reps. IAPD ↗institutional
85
PROTOCOL VC LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
FORMA CASHMERE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
FIELDVIEW CAPITAL MANAGEMENT, LLC — (NILES, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
ANANYM CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
INVESTATURE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
FOURTH SAIL CAPITAL US LP — (location n/a) is newly SEC-registered with $1.51B RAUM and 2 advisory reps. IAPD ↗fund
85
INTELLIGENT ALPHA LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
83
KHROM CAPITAL MANAGEMENT — (MIAMI, FL) is newly SEC-registered with $389.6M RAUM and 3 advisory reps. IAPD ↗fund
83
HUNTER STREET PARTNERS, LP — (WAYZATA, MN) is newly SEC-registered with $279.7M RAUM and 5 advisory reps. IAPD ↗fund
83
SCIENTECH RESEARCH LLC — (JERSEY CITY, NJ) is newly SEC-registered with $439.7M RAUM and 4 advisory reps. IAPD ↗fund
83
BY CRYPTO MANAGEMENT, LLC — (LITTLE ROCK, AR) is newly SEC-registered with $747.4M RAUM and 8 advisory reps. IAPD ↗fund
83
SYMBIOSIS CAPITAL PARTNERS, LLC — (BENTONVILLE, AR) is newly SEC-registered with $278.8M RAUM and 6 advisory reps. IAPD ↗fund
80
13D MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $176.0M RAUM and 5 advisory reps. IAPD ↗fund
80
HIGHBURY PARK LLC — (location n/a) is newly SEC-registered with $155.1M RAUM and 1 advisory reps. IAPD ↗fund
80
BRAESWOOD CARBON MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $185.9M RAUM and 3 advisory reps. IAPD ↗fund
80
REMORA CAPITAL PARTNERS — (NASHVILLE, TN) is newly SEC-registered with $245.0M RAUM and 3 advisory reps. IAPD ↗fund
80
FLOW STATE INVESTMENTS, LP — (CHICAGO, IL) is newly SEC-registered with $188.4M RAUM and 11 advisory reps. IAPD ↗fund
80
CONTINUIM EQUITY PARTNERS, LP — (PITTSBURGH, PA) is newly SEC-registered with $167.3M RAUM and 13 advisory reps. IAPD ↗fund
80
DIGITAL ASSET MANAGEMENT — (PHOENIX, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
PINE VALLEY CAPITAL PARTNERS LLC — (AUSTIN, TX) is newly SEC-registered with $238.1M RAUM and 4 advisory reps. IAPD ↗fund
80
QUADRATURE US INC. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 80 advisory reps. IAPD ↗fund
72
65
65
TRINETRA INVESTMENT MANAGEMENT LLP — (LONDON, United Kingdom) is newly SEC-registered with $224.0M RAUM and 4 advisory reps. IAPD ↗foreign
65
NUTSHELL ASSET MANAGEMENT LIMITED — (SEVENOAKS, United Kingdom) is newly SEC-registered with $165.0M RAUM and 2 advisory reps. IAPD ↗foreign
65
ARINI CAPITAL MANAGEMENT LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 26 advisory reps. IAPD ↗foreign
65
ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC — (POINTE-CLAIRE. QC, Canada) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
DURATION CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
64
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63
TALLVINE PARTNERS MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗institutional
63
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60
CION GROSVENOR MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
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55
TRITON PACIFIC HEALTHCARE PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗fund
55
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53
KAUFMAN HALL INVESTMENT MANAGEMENT — reports 1-10 financial-planning clients, up from 0. IAPD ↗institutional
52
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SUMITOMO MITSUI DS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. — grew from 9 to 11 advisory reps. IAPD ↗foreign
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.