Financial planning software — October 2024
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
261 firms opened this window in the October 2024 SEC roster: 115 new registration, 52 headcount up, 49 pending approved, 35 aum up, 7 planning clients up, 3 planning started.
98
FORM WEALTH ADVISORS, LLC — (LAKE GENEVA, WI) is newly SEC-registered with $925.8M RAUM and 7 advisory reps. IAPD ↗
95
HILLSPRING FINANCIAL, INC. — (SURPRISE, AZ) is newly SEC-registered with $169.2M RAUM and 2 advisory reps. IAPD ↗
95
GIBSON FINANCIAL SOLUTIONS, INC. — (ELLSWORTH, ME) is newly SEC-registered with $122.2M RAUM and 1 advisory reps. IAPD ↗
95
GCI FINANCIAL GROUP — (MENDHAM, NJ) is newly SEC-registered with $101.1M RAUM and 2 advisory reps. IAPD ↗
95
FINANCIAL LEGACY MANAGEMENT, NC. — (LITTLE ROCK, AR) is newly SEC-registered with $119.0M RAUM and 2 advisory reps. IAPD ↗
95
WHITE OAK FINANCIAL MANAGEMENT, INC — (ASHEVILLE, NC) is newly SEC-registered with $105.6M RAUM and 3 advisory reps. IAPD ↗
95
DDO ADVISORY SERVICES, LLC — (RHINEBECK, NY) is newly SEC-registered with $34.8M RAUM and 1 advisory reps. IAPD ↗
95
ARTHUR STEIN FINANCIAL, LLC — (BETHESDA, MD) is newly SEC-registered with $109.7M RAUM and 3 advisory reps. IAPD ↗
95
PENSERRA GLOBAL INVESTORS LLC — (ORINDA, CA) is newly SEC-registered with $1.0M RAUM and 10 advisory reps. IAPD ↗
95
SHERMAN WEALTH MANAGEMENT LLC — (GAITHERSBURG, MD) is newly SEC-registered with $112.2M RAUM and 3 advisory reps. IAPD ↗
95
NOBSCOT INVESTMENT MANAGEMENT LLC — (WELLESLEY, MA) is newly SEC-registered with $129.9M RAUM and 1 advisory reps. IAPD ↗
95
FOGARTY WEALTH MANAGEMENT, INC. — (MISSOURI CITY, TX) is newly SEC-registered with $110.0M RAUM and 1 advisory reps. IAPD ↗
95
OUTBOUND FINANCIAL — (BOULDER, CO) is newly SEC-registered with $100.1M RAUM and 1 advisory reps. IAPD ↗
95
PLANVEST FINANCIAL, INC. — (GAITHERSBURG, MD) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
95
BRINDLE & BAY FINANCIAL ADVISORS, LLC — (FRISCO, TX) is newly SEC-registered with $100.5M RAUM and 2 advisory reps. IAPD ↗
95
ROCHESTER WEALTH STRATEGIES, LLC — (ROCHESTER, MI) is newly SEC-registered with $121.4M RAUM and 4 advisory reps. IAPD ↗
95
KISSLING FINANCIAL SERVICES, LLC — (NEW CASTLE, PA) is newly SEC-registered with $104.3M RAUM and 1 advisory reps. IAPD ↗
95
DIRECTIONAL ADVISORS — (location n/a) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
95
AHARA ADVISORS — (JERSEY CITY, NJ) is newly SEC-registered with $110.8M RAUM and 2 advisory reps. IAPD ↗
95
MINT ASSET MANAGEMENT LLC — (HOBOKEN, NJ) is newly SEC-registered with $43.9M RAUM and 3 advisory reps. IAPD ↗
95
WINCAP FINANCIAL LLC — (BOSTON, MA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
95
10ELMS LLP — (location n/a) is newly SEC-registered with $103.4M RAUM and 2 advisory reps. IAPD ↗
95
ECHO FINANCIAL ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
NAUTA CAPITAL LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
QUANTCA FINANCIAL — (DOVER, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PANDI, LLC — (LEAWOOD, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
95
MAYNERICH FINANCIAL — (VIRDEN, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
HARBORFRONT FINANCIAL GROUP — (LUDINGTON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
GFG SOLUTIONS — (ORLANDO, FL) is newly SEC-registered with $151.1M RAUM and 6 advisory reps. IAPD ↗
95
FOUNTAINHEAD MULTI-FAMILY OFFICE, LLC — (NEW CANAAN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
WEALTHPRIME — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ARCH OTC LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARK SQUARE FINANCIAL GROUP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
HEADLAND CAPITAL — (MT. PLEASANT, SC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
OCM PRIVATE WEALTH, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
UNITING WEALTH PARTNERS — (MISSION, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
NAVISTA WEALTH MANAGEMENT, INC. — (MINNEAPOLIS, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PATEL CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PERSPECTIVE WEALTH ADVISORS — (LOVELAND, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
LINEPOINT PARTNERS & CO. — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
YANDELL INVESTMENTS, LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SAGEWATER WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $2.0M RAUM and 2 advisory reps. IAPD ↗
95
HUNTER KEITH INDUSTRIES, INC. — (WAYZATA, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MOMENT PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
OXFORD WEALTH MANAGEMENT — (LINDON, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VINCENT WEALTH ADVISORS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
UPSKILL WEALTH MANAGEMENT, LLC — (CORTLAND, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OLDFIELD WEALTH PARTNERS — (BANGOR, ME) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ELEVATE CAPITAL GROUP, LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
THE WELLINGTON GRP LLC — (INDIANAPOLIS, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
LECLAIR WEALTH PARTNERS — (DUBLIN, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
STONE TEMPLE PARTNERS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
INTELLUS ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
COLLABORATIVE PORTFOLIO MANAGEMENT — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $120.7M RAUM and 3 advisory reps. IAPD ↗
95
MORANGIE MANAGEMENT LLC — (MARSHFIELD, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
MATAURO, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
95
BRAMBLE WEALTH PLANNING — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TFR CAPITAL — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
VAQUITA SUN, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
WEALTHSPIRE ADVISORS — grew from 140 to 160 advisory reps. IAPD ↗
85
PRIVATE ADVISOR GROUP, LLC — grew from 721 to 742 advisory reps. IAPD ↗
85
THE COLONY GROUP, LLC — grew from 660 to 688 advisory reps. IAPD ↗
85
THURSTON SPRINGER ADVISORS — grew from 51 to 68 advisory reps. IAPD ↗
80
CAPITAL RESEARCH AND MANAGEMENT COMPANY — grew from 362 to 372 advisory reps. IAPD ↗
80
STIRLINGSHIRE INVESTMENTS — grew from 11 to 28 advisory reps. IAPD ↗
80
ATLANTA CONSULTING GROUP ADVISORS, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
78
STOLPER & CO., INC. — now offers financial planning (Item 5G(1)). IAPD ↗
76
MOORS & CABOT, INC — grew from 67 to 73 advisory reps. IAPD ↗
76
NEW YORK LIFE INVESTMENT MANAGEMENT LLC — grew from 14 to 20 advisory reps. IAPD ↗
75
THURSTON SPRINGER ADVISORS — reported RAUM up 192% ($1.35B -> $3.96B). IAPD ↗
75
SANCTUARY ADVISORS, LLC — grew from 319 to 324 advisory reps. IAPD ↗
75
CONFLUENCE FINANCIAL PARTNERS — grew from 29 to 34 advisory reps. IAPD ↗
75
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 126 to 131 advisory reps. IAPD ↗
75
SOLIST WEALTH MANAGEMENT — now offers financial planning (Item 5G(1)). IAPD ↗
74
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC — grew from 8 to 14 advisory reps. IAPD ↗
73
CAPITAL BANK AND TRUST COMPANY — reported RAUM up 67% ($45.43B -> $75.86B). IAPD ↗
73
HMV WEALTH ADVISORS, LLC — reported RAUM up 159% ($117.9M -> $305.2M). IAPD ↗
73
WOLF GROUP CAPITAL ADVISORS — grew from 6 to 11 advisory reps. IAPD ↗
73
SOLANO WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
503 CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
VERIDAN WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
73
BRISTOL WEALTH GROUP — 's provisional registration is now fully approved. IAPD ↗
73
ALLEGIANT WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
IMPACT RETIREMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
SOUTHERN EQUITY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
CARRERA CAPITAL ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
TOPSAIL WEALTH MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
73
GUILBAULT CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
PANORAMIC CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
73
FOUNDERS GROVE WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
PARKWOODS WEALTH PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
PARR MCKNIGHT WEALTH MANAGEMENT GROUP — reports 251-500 financial-planning clients, up from 1-10. IAPD ↗
72
INTEGRATED QUANTITATIVE INVESTMENTS LLC — reported RAUM up 71% ($163.5M -> $280.0M). IAPD ↗
71
LAZARI CAPITAL MANAGEMENT, INC. — grew from 5 to 8 advisory reps. IAPD ↗
70
STIRLINGSHIRE INVESTMENTS — reported RAUM up 87% ($37.0M -> $69.2M). IAPD ↗
70
STAVIS WEALTH TRANSFER SOLUTIONS — reported RAUM up 101% ($53.8M -> $108.4M). IAPD ↗
70
GOLDSTONE FINANCIAL GROUP, LLC — grew from 10 to 12 advisory reps. IAPD ↗
70
WEALTH DIMENSIONS FAMILY OFFICE, INC — grew from 9 to 11 advisory reps. IAPD ↗
70
SYNERGY INVESTMENT MANAGEMENT LLC — grew from 5 to 10 advisory reps. IAPD ↗
70
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 3 to 8 advisory reps. IAPD ↗
70
TOPSAIL WEALTH MANAGEMENT LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
WEALTH MORE ENTERPRISE, INC. — 's provisional registration is now fully approved. IAPD ↗
70
CAVALCADE CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
SPHINX INVESTMENTS LLC — 's provisional registration is now fully approved. IAPD ↗
70
1015 CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
MINDORO CAPITAL PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
FIRST FINANCIAL SERVICES, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FUTUREMONEY RIA — 's provisional registration is now fully approved. IAPD ↗
70
BASSAM WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
KETRON FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
INTEGRITY WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
PACIFIC WEALTH ADVISORY SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
70
GULFSTREAM ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
BONA FIDE WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
THE KIECKHEFER GROUP — 's provisional registration is now fully approved. IAPD ↗
70
DOUGLASS INVESTMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
70
ZERO DAY CAPITAL ENTERPRISES LLC — 's provisional registration is now fully approved. IAPD ↗
70
OSPREY PRIVATE WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
OUTRUNNER CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
917 ADVISORY SERVICES LLC — 's provisional registration is now fully approved. IAPD ↗
70
ROUTE 20 PRIVATE WEALTH INC. — 's provisional registration is now fully approved. IAPD ↗
70
MOTIVE WEALTH ADVISORS, LLC — reports 51-100 financial-planning clients, up from 0. IAPD ↗
69
ARISTA WEALTH MANAGEMENT, LLC — reported RAUM up 60% ($621.2M -> $993.2M). IAPD ↗
69
WEALTH MORE ENTERPRISE, INC. — grew from 2 to 6 advisory reps. IAPD ↗
68
MINDORO CAPITAL PARTNERS LLC — grew from 3 to 6 advisory reps. IAPD ↗
67
HENDERSHOTT WEALTH MANAGEMENT, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
SAS FINANCIAL ADVISORS, LLC. — grew from 3 to 5 advisory reps. IAPD ↗
67
WISDOM CAPITAL ASSET MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
PRESTIGE WEALTHWIDE, LLC — grew from 3 to 5 advisory reps. IAPD ↗
67
MARIDEA WEALTH MANAGEMENT — grew from 7 to 9 advisory reps. IAPD ↗
67
LEGACY CAPITAL — grew from 1 to 3 advisory reps. IAPD ↗
65
WEDBUSH SECURITIES INC. — reported RAUM up 28% ($4.50B -> $5.74B). IAPD ↗
65
A.G.P / ALLIANCE GLOBAL PARTNERS — reported RAUM up 28% ($1.32B -> $1.69B). IAPD ↗
65
SATURNA CAPITAL CORPORATION — reported RAUM up 26% ($6.64B -> $8.39B). IAPD ↗
65
NGC FINANCIAL, LLC — reported RAUM up 51% ($25.9M -> $39.1M). IAPD ↗
63
PALOUSE CAPITAL MANAGEMENT, INC. — reported RAUM up 26% ($228.6M -> $288.5M). IAPD ↗
63
PACIFIC CAPITAL — reported RAUM up 26% ($525.9M -> $661.2M). IAPD ↗
63
PEAK RETIREMENT PLANNING, INC. — reported RAUM up 43% ($106.0M -> $151.9M). IAPD ↗
63
LVM CAPITAL MANAGEMENT LTD — reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
61
BENJAMIN SECURITIES, INC. — reported RAUM up 31% ($26.0M -> $33.9M). IAPD ↗
58
FUTURE YOU WEALTH — reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
58
STAVIS WEALTH TRANSFER SOLUTIONS — reports 1-10 financial-planning clients, up from 0. IAPD ↗
58
MINDORO CAPITAL PARTNERS LLC — reports 1-10 financial-planning clients, up from 0. IAPD ↗
85
CARVAL CLO MANAGEMENT LLC — (MINNEAPOLIS, MN) is newly SEC-registered with $4.92B RAUM and 1 advisory reps. IAPD ↗fund
85
CALPA ADVISORS LLC — (KIRKLAND, WA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
TWO SIGMA REAL ESTATE, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 12 advisory reps. IAPD ↗institutional
85
MAG ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MISSION INVESTMENT ADVISORS LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BAYPOINTE PARTNERS, LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
ACCEL MANAGEMENT CO. L.L.C — (PALO ALTO, CA) is newly SEC-registered with $29.94B RAUM and 44 advisory reps. IAPD ↗fund
85
GUGGENHEIM PRIVATE INVESTMENTS, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
INFINITY CREDIT ADVISORY, LLC — (ATLANTA, GA) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FPLF MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 15 advisory reps. IAPD ↗institutional
85
NIOBRARA CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FUNDSTRAT CAPITAL — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TEMA ETFS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
CREDIT BRIDGE ADVISORS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
AVATHON CAPITAL MANAGEMENT LP — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FIN FINANCIAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
FIRST TRYON ADVISORS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
VARIADIC LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗institutional
85
AXXES ADVISORS I LLC — (CORAL GABLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
10X CAPITAL PARTNERS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
SCI CAPITAL PARTNERS LP — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
85
THIRD POINT PRIVATE CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 41 advisory reps. IAPD ↗institutional
85
TALOS ASSET MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
BOW RIVER CREDIT ADVISERS, LLC. — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
MANTEIO SCALABLE TECHNOLOGIES LLC — (JERSEY CITY, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
83
FIO ADVISORS LP — (NEW YORK, NY) is newly SEC-registered with $445.8M RAUM and 3 advisory reps. IAPD ↗fund
83
BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC — (location n/a) is newly SEC-registered with $452.7M RAUM and 12 advisory reps. IAPD ↗fund
83
DYNASTY EQUITY PARTNERS MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $343.6M RAUM and 9 advisory reps. IAPD ↗fund
83
ROSCOMMON ANALYTICS LLC — (NEW YORK, NY) is newly SEC-registered with $753.8M RAUM and 45 advisory reps. IAPD ↗fund
80
LYNWOOD PRICE CAPITAL MANAGEMENT LP — (AUSTIN, TX) is newly SEC-registered with $36.0M RAUM and 2 advisory reps. IAPD ↗fund
80
CHRISTOPHER & CO., LLC — (AUSTIN, TX) is newly SEC-registered with $196.1M RAUM and 3 advisory reps. IAPD ↗fund
80
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps. IAPD ↗fund
80
CORDOBA CAPITAL PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $55.3M RAUM and 6 advisory reps. IAPD ↗fund
80
SOUNDCORE CAPITAL PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered with $187.5M RAUM and 12 advisory reps. IAPD ↗fund
80
GENERAL INNOVATION CAPITAL, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗fund
80
PERRYRIDGE CAPITAL LP — (GREENWICH, CT) is newly SEC-registered with $128.7M RAUM and 3 advisory reps. IAPD ↗fund
80
FIVESPAN PARTNERS, LP — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
WHITE ROCK RESOURCES HOLDINGS, LLC — (PLANO, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗fund
80
NINE LEFT CAPITAL LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
80
ALAMOS CAPITAL, LLC — (TUCSON, AZ) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗fund
80
LINCOLN ENERGY HOLDINGS LLC — (ENGLEWOOD, CO) is newly SEC-registered with $126.9M RAUM and 7 advisory reps. IAPD ↗fund
80
RUSHMONT CAPITAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗fund
70
70
70
70
68
REGENTS GATE CAPITAL LLP — (LONDON, United Kingdom) is newly SEC-registered with $783.1M RAUM and 4 advisory reps. IAPD ↗foreign
68
SCOTT CAPITAL PARTNERS — (LONDON, United Kingdom) is newly SEC-registered with $689.5M RAUM and 6 advisory reps. IAPD ↗foreign
68
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA. — (SAO PAULO, Brazil) is newly SEC-registered with $587.0M RAUM and 4 advisory reps. IAPD ↗foreign
67
65
NINE MASTS CAPITAL ADVISERS LLC — (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps. IAPD ↗foreign
65
SARTORIAL WEALTH (USA) INC. — (MISSISSAUGA, ONTARIO, Canada) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
ARCHER PORTFOLIO MANAGEMENT INC. — (MONTREAL, QUEBEC, Canada) is newly SEC-registered with $190.4M RAUM and 2 advisory reps. IAPD ↗foreign
65
BRICKWOOD ASSET MANAGEMENT — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗foreign
65
MERIDIEM CAPITAL PARTNERS LP — 's provisional registration is now fully approved. IAPD ↗institutional
65
VENERABLE INVESTMENT ADVISERS, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
65
BLUE OWL INSURANCE SOLUTIONS — 's provisional registration is now fully approved. IAPD ↗institutional
63
63
MAIN CAPITAL PARTNERS NORTH AMERICA LLC — reported RAUM up 804% ($41.0M -> $370.8M). IAPD ↗institutional
63
63
63
63
AGILE INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
61
60
60
60
60
ACADIA INFRASTRUCTURE CAPITAL LP — 's provisional registration is now fully approved. IAPD ↗institutional
60
60
ORG PARTNERS ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
59
58
58
58
58
58
55
55
55
55
55
55
53
53
53
52
52
51
49
49
48
48
45
44
42
40
36
36
36
36
COOLABAH CAPITAL INSTITUTIONAL INVESTMENTS PTY LIMITED — reported RAUM up 31% ($5.17B -> $6.80B). IAPD ↗foreign
34
33
33
ASSET RISK CONSULTANTS (UK) LIMITED — reports 11-25 financial-planning clients, up from 1-10. 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.