Financial planning software — July 2025
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
254 firms opened this window in the July 2025 SEC roster: 128 new registration, 52 headcount up, 34 aum up, 32 pending approved, 7 planning clients up, 1 planning started.
98
AIS PLANNING — (ST. CLOUD, MN) is newly SEC-registered with $485.1M RAUM and 9 advisory reps. IAPD ↗
95
V.M. MANNING & CO., INC. — (GREENVILLE, SC) is newly SEC-registered with $115.5M RAUM and 2 advisory reps. IAPD ↗
95
1ST DISCOUNT BROKERAGE, INC. — (LAKE WORTH, FL) is newly SEC-registered with $108.1M RAUM and 9 advisory reps. IAPD ↗
95
HOROWITZ & COMPANY, INC. — (FORT LAUDERDALE, FL) is newly SEC-registered with $145.4M RAUM and 2 advisory reps. IAPD ↗
95
LITTLEFIELD ASSET MANAGEMENT, INC. — (location n/a) is newly SEC-registered with $124.2M RAUM and 1 advisory reps. IAPD ↗
95
HUTCHINSON FINANCIAL ADVISORS, INC — (GLEN ALLEN, VA) is newly SEC-registered with $120.9M RAUM and 1 advisory reps. IAPD ↗
95
COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC — (location n/a) is newly SEC-registered with $162.6M RAUM and 1 advisory reps. IAPD ↗
95
SPYGLASS INVESTMENT MANAGEMENT — (TERRE HAUTE, IN) is newly SEC-registered with $140.0M RAUM and 3 advisory reps. IAPD ↗
95
PHILADELPHIA INVESTMENT PARTNERS, LLC — (VOORHEES, NJ) is newly SEC-registered with $140.8M RAUM and 3 advisory reps. IAPD ↗
95
CAPITAL FINANCIAL, LLC — (OLNEY, MD) is newly SEC-registered with $140.8M RAUM and 1 advisory reps. IAPD ↗
95
SHEA FINANCIAL ADVISORS — (location n/a) is newly SEC-registered with $116.5M RAUM and 2 advisory reps. IAPD ↗
95
LORETTA NOLAN ASSOCIATES, LLC — (OLD GREENWICH, CT) is newly SEC-registered with $121.6M RAUM and 1 advisory reps. IAPD ↗
95
STAWNYCHY FINANCIAL SERVICES, INC. — (KINNELON, NJ) is newly SEC-registered with $113.9M RAUM and 1 advisory reps. IAPD ↗
95
TC FINANCIAL MANAGEMENT, CO INC. — (MARGATE CITY, NJ) is newly SEC-registered with $123.6M RAUM and 2 advisory reps. IAPD ↗
95
CORNERSTONE FINANCIAL GROUP,LLC — (OMAHA, NE) is newly SEC-registered with $247.0M RAUM and 5 advisory reps. IAPD ↗
95
MCCORMACK FINANCIAL PLANNING INC. — (ATLANTA, GA) is newly SEC-registered with $103.0M RAUM and 3 advisory reps. IAPD ↗
95
CORNERSTONE SECURITIES LLC — (OVERLAND PARK, KS) is newly SEC-registered with $175.0M RAUM and 10 advisory reps. IAPD ↗
95
POULOS ADVISORS, INC. — (SOUTH BURLINGTON, VT) is newly SEC-registered with $133.3M RAUM and 2 advisory reps. IAPD ↗
95
DOUGHERTY INVESTMENT ADVISORS — (SPRING HILL, FL) is newly SEC-registered with $113.9M RAUM and 4 advisory reps. IAPD ↗
95
WISCONSIN WEALTH ADVISORS, LLC — (SUN PRAIRIE, WI) is newly SEC-registered with $114.2M RAUM and 3 advisory reps. IAPD ↗
95
NATURAL BRIDGES FINANCIAL ADVISORS — (SANTA CRUZ, CA) is newly SEC-registered with $106.3M RAUM and 2 advisory reps. IAPD ↗
95
DICCIANNI FINANCIAL GROUP, INC. — (EAST NORRITON, PA) is newly SEC-registered with $111.2M RAUM and 2 advisory reps. IAPD ↗
95
ST. CLAIR FINANCIAL — (ROSEVILLE, CA) is newly SEC-registered with $118.5M RAUM and 1 advisory reps. IAPD ↗
95
LANSDOWNE WEALTH MANAGEMENT, LLC — (MYSTIC, CT) is newly SEC-registered with $214.1M RAUM and 6 advisory reps. IAPD ↗
95
CORE WEALTH ADVISORS — (INDIANAPOLIS, IN) is newly SEC-registered with $124.6M RAUM and 3 advisory reps. IAPD ↗
95
LIBERTAS WEALTH MANAGEMENT GROUP, INC. — (COLUMBUS, OH) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
WALLICK INVESTMENTS, LLC — (COLUMBIA, SC) is newly SEC-registered with $112.4M RAUM and 2 advisory reps. IAPD ↗
95
MCDONNELL CAPITAL MANAGEMENT — (FRANKFORT, IL) is newly SEC-registered with $132.7M RAUM and 2 advisory reps. IAPD ↗
95
CARDINAL RETIREMENT PLANNING, INC. — (location n/a) is newly SEC-registered with $111.0M RAUM and 3 advisory reps. IAPD ↗
95
SUSTAINVEST ASSET MANAGEMENT, LLC — (LINWOOD, NJ) is newly SEC-registered with $114.0M RAUM and 1 advisory reps. IAPD ↗
95
VISION FINANCIAL MANAGEMENT, LLC — (CUYAHOGA FALLS, OH) is newly SEC-registered with $120.0M RAUM and 2 advisory reps. IAPD ↗
95
LEWIS FINANCIAL, LLC — (SAN LUIS OBISPO, CA) is newly SEC-registered with $108.1M RAUM and 3 advisory reps. IAPD ↗
95
KERR WEALTH MANAGEMENT — (FRESNO, CA) is newly SEC-registered with $110.1M RAUM and 4 advisory reps. IAPD ↗
95
HARRIS CONSULTING — (ROSWELL, GA) is newly SEC-registered with $117.4M RAUM and 2 advisory reps. IAPD ↗
95
DELTA ACCUMULATION, LLC — (SAUSALITO, CA) is newly SEC-registered with $210.0M RAUM and 3 advisory reps. IAPD ↗
95
CIRRUS CAPITAL LLC — (BIRMINGHAM, MI) is newly SEC-registered with $124.3M RAUM and 3 advisory reps. IAPD ↗
95
PROCORE ADVISORS, LLC — (NEWPORT BEACH, CA) is newly SEC-registered with $110.9M RAUM and 5 advisory reps. IAPD ↗
95
COLLECTIVE WEALTH ADVISORS LLC — (COPPELL, TX) is newly SEC-registered with $139.8M RAUM and 5 advisory reps. IAPD ↗
95
MORRISSEY WEALTH MANAGEMENT LLC — (NORTH HAVEN, CT) is newly SEC-registered with $135.6M RAUM and 2 advisory reps. IAPD ↗
95
BOLDIN ADVISORS — (MILL VALLEY, CA) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗
95
GREEN & DECKERT LLC — (LUBBOCK, TX) is newly SEC-registered with $113.0M RAUM and 2 advisory reps. IAPD ↗
95
BLUE POINT FINANCIAL, INC. — (SCARBOROUGH, ME) is newly SEC-registered with $113.3M RAUM and 2 advisory reps. IAPD ↗
95
FOUNDRY FINANCIAL LLC — (LOS ANGELES, CA) is newly SEC-registered with $104.7M RAUM and 3 advisory reps. IAPD ↗
95
SAGE WEALTH PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $113.7M RAUM and 2 advisory reps. IAPD ↗
95
TAMALPAIS ASSET MANAGEMENT — (LARKSPUR, CA) is newly SEC-registered with $209.5M RAUM and 5 advisory reps. IAPD ↗
95
GOLDFARB FINANCIAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $119.7M RAUM and 1 advisory reps. IAPD ↗
95
ILLUMINATE WEALTH MANAGEMENT — (BARRINGTON, IL) is newly SEC-registered with $120.1M RAUM and 1 advisory reps. IAPD ↗
95
ALLIANCE PRIVATE WEALTH, LLC — (NORTH READING, MA) is newly SEC-registered with $102.3M RAUM and 3 advisory reps. IAPD ↗
95
TRIPLETAIL WEALTH MANAGEMENT — (ORLANDO, FL) is newly SEC-registered with $109.8M RAUM and 3 advisory reps. IAPD ↗
95
FOG CITY ADVISORS, LLC — (ALBANY, CA) is newly SEC-registered with $122.6M RAUM and 2 advisory reps. IAPD ↗
95
THE ZILLENNIAL ADVISORS — (location n/a) is newly SEC-registered with $0 RAUM and 4 advisory reps. IAPD ↗
95
BLUESTONE PRIVATE WEALTH, LLC — (location n/a) is newly SEC-registered with $147.9M RAUM and 2 advisory reps. IAPD ↗
95
PONTA WEALTH PARTNERS, LLC — (WINTER PARK, FL) is newly SEC-registered with $102.2M RAUM and 1 advisory reps. IAPD ↗
95
ABUNDANT WEALTH MANAGEMENT LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
MOR WEALTH MANAGEMENT, LLC — (PHILADELPHIA, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BQS FINANCIAL ADVISORS, LLC — (NEW YORK, NY) is newly SEC-registered with $108.0M RAUM and 1 advisory reps. IAPD ↗
95
ELKWATER CAPITAL — (NEW YORK, NY) is newly SEC-registered with $32.9M RAUM and 1 advisory reps. IAPD ↗
95
RARE WOLF CAPITAL LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
A & L PERSONAL BUSINESS MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BEACON ADVISORS — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
COPPERLINE WEALTH MANAGEMENT & PLANNING, LLC — (CODY, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TICINO WEALTH — (MISSION VIEJO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
GRACE ADVISORS LLC — (WILMINGTON, DE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
BZ WEALTH ADVISORS, LLC — (LITTLETON, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
LEGEND CAPITAL — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
QUANT ALPHA LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ASSET ONE WEALTH MANAGEMENT, LLC — (BELLEVUE, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
JUNO FINANCIAL GROUP LLC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
SUCCESSION FINANCIAL, INC — (MCKINNEY, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BORABOND, LLC — (FRAMINGHAM, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEMINI PORTFOLIO MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PW ADVISORS — (TALLAHASSEE, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
PINCUS CAPITAL MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
RBS WEALTH MANAGEMENT — (ALTO, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MERITIS WEALTH MANAGEMENT, INC. — (POTOMAC, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MAXQ ASSET MANAGEMENT LLC — (NEWPORT BEACH, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PEARL PLANNING — (DEXTER, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
PARK STATE ASSET MANAGEMENT LLC — (BEVERLY, MA) is newly SEC-registered with $206.6M RAUM and 3 advisory reps. IAPD ↗
95
ODYSSEY GROUP WEALTH ADVISORS — (LANCASTER, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPIEGELMAN WEALTH MANAGEMENT LLC — (WALNUT CREEK, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MILESTONE FINANCIAL ASSOCIATES, LLC — (MACUNGIE, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FINANCIAL JUSTUS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TORREY-PAYNE WEALTH MANAGEMENT — (PASADENA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHARMARLINE WEALTH MANAGEMENT — (LYNCHBURG, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
95
NAPIER FINANCIAL — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
SHERPA CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HERITAGE GROVE WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $110.5M RAUM and 1 advisory reps. IAPD ↗
95
INNOVATIVE ASSET ADVISORS GROUP — (SHELTON, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SPREADWISE LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SUMMITPOINT CAPITAL MANAGEMENT — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUESTAR WEALTH MANAGEMENT — (LAKE MARY, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ROSCI LAMB, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
COLDSTREAM WEALTH MANAGEMENT — grew from 141 to 165 advisory reps. IAPD ↗
85
STEPSTONE GROUP LP — grew from 164 to 193 advisory reps. IAPD ↗
85
FOCUS PARTNERS WEALTH, LLC — grew from 945 to 980 advisory reps. IAPD ↗
84
ARAX ADVISORY PARTNERS — grew from 38 to 52 advisory reps. IAPD ↗
79
COQUINA PRIVATE WEALTH ADVISORS — reports More than 500 financial-planning clients, up from 0. IAPD ↗
78
NINETY ONE NORTH AMERICA, INC. — grew from 29 to 37 advisory reps. IAPD ↗
76
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 137 to 143 advisory reps. IAPD ↗
76
OASIS ADVISORS — grew from 11 to 22 advisory reps. IAPD ↗
75
ARAX ADVISORY PARTNERS — reported RAUM up 161% ($2.81B -> $7.32B). IAPD ↗
75
TOCQUEVILLE ASSET MANAGEMENT LP — grew from 36 to 41 advisory reps. IAPD ↗
75
LUTHER KING CAPITAL MANAGEMENT CORPORATION — grew from 67 to 72 advisory reps. IAPD ↗
75
ACORN FINANCIAL ADVISORY SERVICES, INC. — grew from 12 to 17 advisory reps. IAPD ↗
75
SANCTUARY ADVISORS, LLC — grew from 345 to 350 advisory reps. IAPD ↗
75
BERMAN MCALEER — 's provisional registration is now fully approved. IAPD ↗
75
X ADVISORS, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
73
MADISON ADVISORY SERVICES, INC. — grew from 11 to 16 advisory reps. IAPD ↗
73
BLUE DIAMOND CAPITAL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
COQUINA PRIVATE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
BASECAMP WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
STEADTRUST — 's provisional registration is now fully approved. IAPD ↗
73
DOMAIN MONEY ADVISORS, LLC — reports 251-500 financial-planning clients, up from 0. IAPD ↗
72
THE WEALTH ALLIANCE, LLC — grew from 9 to 11 advisory reps. IAPD ↗
72
WEDMONT PRIVATE CAPITAL — grew from 5 to 7 advisory reps. IAPD ↗
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STEADTRUST — grew from 5 to 9 advisory reps. IAPD ↗
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ASCENSION CAPITAL ADVISORS, INC. — grew from 5 to 7 advisory reps. IAPD ↗
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WEAVER CAPITAL MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
70
RIGDEN CAPITAL STRATEGIES — 's provisional registration is now fully approved. IAPD ↗
70
HONEOYE FALLS CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
STATERA WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
MATTERS CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
ARGO WEALTH ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SYNERGY CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
THE QUICK GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
STORGATE, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AGMAN CAPITAL — 's provisional registration is now fully approved. IAPD ↗
70
ALTERIS CAPITAL PARTNERS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
ROOTED FINANCIAL GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FORS FINANCIAL — 's provisional registration is now fully approved. IAPD ↗
67
HOMRICH BERG — reported RAUM up 39% ($18.59B -> $25.88B). IAPD ↗
67
ZENITH WEALTH PARTNERS — grew from 6 to 8 advisory reps. IAPD ↗
66
INDIVISIBLE PARTNERS — reported RAUM up 41% ($298.6M -> $421.3M). IAPD ↗
66
ARAX ADVISORY PARTNERS — reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
63
MEOW ADVISORY, LLC — reported RAUM up 27% ($675.5M -> $856.8M). IAPD ↗
63
L & S ADVISORS, INC — reports 1-10 financial-planning clients, up from 0. IAPD ↗
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BLUE DIAMOND CAPITAL INVESTMENT ADVISORS — reports 1-10 financial-planning clients, up from 0. IAPD ↗
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LI ENTERPRISES — reports 1-10 financial-planning clients, up from 0. IAPD ↗
58
BERLIN WEALTH GROUP ADVISORS — reports 1-10 financial-planning clients, up from 0. IAPD ↗
88
NEW WAVE LOANS RESIDENTIAL, LLC — (NORTH MIAMI BEACH, FL) is newly SEC-registered with $680.4M RAUM and 2 advisory reps. IAPD ↗institutional
85
"THE PILOT'S ADVISOR," LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PCM MANAGEMENT ADVISOR, LLC — (CHAGRIN FALLS, OH) is newly SEC-registered with $7.64B RAUM and 23 advisory reps. IAPD ↗fund
85
CARO INVESTORS — (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
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GROWTH LENDING GP LLC — (ROSWELL, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KOMPASS KAPITAL ADVISORS, LLC — (OVERLAND PARK, KS) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CAMBERLINE CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
OUTLIER GLOBAL MANAGEMENT — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MATRIX CAPITAL PARTNERS, LLC — (WESTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
TRAILS EDGE CAPITAL PARTNERS, LP — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
SUPERSTATE ADVISERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
DRONA PARTNERS CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗institutional
85
CANTOR OCS ASSET MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KINGSBRIDGE INVESTMENT PARTNERS LLC — (LAS VEGAS, NV) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
TURAS CAPITAL MANAGEMENT — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
MOTUM CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
GRIFFIN GLOBAL ASSET MANAGEMENT — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
ARIXA MANAGEMENT, LLC — (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 20 advisory reps. IAPD ↗institutional
83
PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLC — (NEW YORK, NY) is newly SEC-registered with $589.8M RAUM and 9 advisory reps. IAPD ↗fund
83
RIVERSPAN PARTNERS LP — (CHICAGO, IL) is newly SEC-registered with $312.3M RAUM and 8 advisory reps. IAPD ↗fund
83
CLEARLIST CAPITAL LLC — (NEW YORK, NY) is newly SEC-registered with $434.1M RAUM and 2 advisory reps. IAPD ↗fund
80
CHECKETTS PARTNERS INVESTMENT MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $122.1M RAUM and 2 advisory reps. IAPD ↗fund
80
TOCCATA CAPITAL — (location n/a) is newly SEC-registered with $50.0M RAUM and 1 advisory reps. IAPD ↗fund
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XCELLERANT VENTURES, LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $25.5M RAUM and 6 advisory reps. IAPD ↗fund
80
LOCK 8 PARTNERS — (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 7 advisory reps. IAPD ↗fund
80
TORQUE ASSET MANAGEMENT LLC — (location n/a) is newly SEC-registered with $216.6M RAUM and 3 advisory reps. IAPD ↗fund
80
TABERNACLE EQUITY MANAGEMENT LLC — (SOUTHLAKE, TX) is newly SEC-registered with $48.8M RAUM and 4 advisory reps. IAPD ↗fund
80
O ASSET MANAGEMENT LLC — (FAIRPORT, NY) is newly SEC-registered (provisional 120-day approval) with $16.0M RAUM and 10 advisory reps. IAPD ↗fund
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WEALTH MANAGEMENT GROUP AG — (ZURICH, Switzerland) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
VIRGO DIGITAL ASSET MANAGEMENT INC. — (NORTH YORK, Canada) is newly SEC-registered with $9.9M RAUM and 2 advisory reps. IAPD ↗foreign
65
MOMA INTERNATIONAL — (PORTO ALEGRE, RIO GRANDE DO SUL, Brazil) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
CAPSIGMA INVESTMENT PARTNERS LTDA — (SAO PAULO, SP, Brazil) is newly SEC-registered with $19.3M RAUM and 5 advisory reps. IAPD ↗foreign
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63
CC CAPITAL INSURANCE ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
ICON INFRASTRUCTURE NORTH AMERICA INC. — reported RAUM up 62% ($1.45B -> $2.36B). IAPD ↗institutional
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SWISS RE INSURANCE-LINKED INVESTMENT ADVISORS CORPORATION — reported RAUM up 75% ($2.06B -> $3.61B). IAPD ↗fund
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60
RECKONER CAPITAL MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
ALTIUM INVESTMENT STRATEGIES LLC — 's provisional registration is now fully approved. IAPD ↗institutional
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ARROW INVESTMENT MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
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THREE FIFTY EIGHT INVESTMENT GROUP, LLC — 's provisional registration is now fully approved. IAPD ↗fund
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FIRST ASSOCIATED INVESTMENT ADVISORS, INC. — reported RAUM up 27% ($41.1M -> $52.2M). IAPD ↗institutional
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MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED — reported RAUM up 42% ($11.09B -> $15.72B). 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.