Financial planning software — January 2026
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
240 firms opened this window in the January 2026 SEC roster: 115 new registration, 45 pending approved, 43 headcount up, 23 aum up, 12 planning clients up, 2 planning started.
98
TACTICA LLC — (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
98
PROSPERITY FINANCIAL GROUP, INC. — (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC — (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
95
INTEGRITY WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
95
BELLEAIR WEALTH MANAGEMENT, LLC — (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
95
A SLING & A STONE, INCORPORATED — (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
95
ARM FINANCIAL LLC — (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
95
GENESIS ADVISORS, LLC — (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
95
FINANCIAL AVENUES — (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
95
FORTITUDE WEALTH MANAGEMENT — (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC — (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
95
VERSATILE CAPITAL MANAGEMENT L.L.C. — (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
95
BRIA CAPITAL GROUP, LLC — (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
95
LDN WEALTH, LLC — (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
WEALTHRISE FINANCIAL PLANNING, LLC — (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
95
IMPACT FIDUCIARY LLC — (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
95
PROSPERO WEALTH, LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
95
CENTRAL WEALTH MANAGEMENT LLC — (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BLUE JAY FINANCIAL GROUP, LLC — (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
95
MODERN FINANCIAL PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
95
MD WEALTH MANAGEMENT, LLC — (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
95
OMNITRUST WEALTH MANAGEMENT, INC. — (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
95
FINAMEX ASSET MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
95
MUSE CAPITAL MANAGEMENT LLC — (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
95
CALEO CAPITAL N.A. LLC — (PONTE VEDRA, FL) is newly SEC-registered with $100.8M RAUM and 4 advisory reps. IAPD ↗
95
WMK INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $129.3M RAUM and 4 advisory reps. IAPD ↗
95
COPPERWOOD FINANCIAL — (BURR RIDGE, IL) is newly SEC-registered with $108.4M RAUM and 3 advisory reps. IAPD ↗
95
SMP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $64.4M RAUM and 2 advisory reps. IAPD ↗
95
BICE WEALTH MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered with $147.7M RAUM and 2 advisory reps. IAPD ↗
95
ARSENAL CAPITAL ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SWIFTWATER CAPITAL — (location n/a) is newly SEC-registered with $169.7M RAUM and 1 advisory reps. IAPD ↗
95
PRIVATE CLIENT ADVISOR GROUP, LLC — (PALM CITY, FL) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
95
APRICITY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.8M RAUM and 4 advisory reps. IAPD ↗
95
KINGWOOD INVESTMENT GROUP — (KINGWOOD, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
95
BLUE BEAR FINANCIAL, LLC — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
95
XENA FINANCIAL PLANNING, LLC — (PORTLAND, OR) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
95
IGW ADVISORY INVESTMENT MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
ERA FINANCIAL ADVISORS — (COVINA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
INGOT FINANCE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ASCENT ADVISORS — (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
RISE NORTH CAPITAL INVESTMENT ADVISORS — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
95
OMEN ADVISORY, LLC — (location n/a) is newly SEC-registered with $36,000 RAUM and 1 advisory reps. IAPD ↗
95
SAVILE CAPITAL MANAGEMENT LLC — (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ACTIV8 FAMILY OFFICE LLC — (MCLEAN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
FERGHANA INVESTMENT PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
AHAKISTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
501 NORTH, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
SENTINEL ADVISORY GROUP, LLC — (MIDDLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
COLAB CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PARADIGM GLOBAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
HIGHBROOK CAPITAL PARTNERS — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
R2 WEALTH MANAGEMENT PARTNERS — (LINCOLN, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
95
ENDOWE ADVISORY LLC — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
BAYTRUST WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
NAMSOFT ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
PULLIAM FAMILY OFFICE, LLC — (CRESTED BUTTE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FFO INVESTMENTS LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
WASHINGTON PARK CAPITAL MANAGEMENT, LLC — (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
IMPERITY WEALTH ALLIANCE LLC — (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
95
VALOREM LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MILLER FINANCIAL SERVICES, INC. — (SAN JUAN CAPISTRANO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MODELL CAPITAL MANAGEMENT LLC — (ROCHESTER, MI) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
PARKSIDE FAMILY OFFICE LLC — (EDMONDS, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
NORTHILL AIMS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MFT WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
STEPHEN SMITH FINANCIAL INC. — (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
HV CAPITAL MANAGEMENT — (MONTGOMERY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
95
VERTRIX WEALTH MANAGEMENT, LLC — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
TECTONIC CAPITAL ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
OASYS WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
85
RAYMOND JAMES & ASSOCIATES, INC. — grew from 5537 to 5683 advisory reps. IAPD ↗
85
FRANKLIN ADVISERS, INC. — grew from 254 to 272 advisory reps. IAPD ↗
85
PUTNAM INVESTMENT MANAGEMENT, LLC — grew from 51 to 72 advisory reps. IAPD ↗
85
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC — grew from 5720 to 6024 advisory reps. IAPD ↗
84
WESTERN ASSET MANAGEMENT COMPANY — grew from 68 to 82 advisory reps. IAPD ↗
82
PRIVATE CAPITAL MANAGEMENT, LLC — grew from 13 to 25 advisory reps. IAPD ↗
80
CAPITAL INVESTMENT SERVICES OF AMERICA INC — now offers financial planning (Item 5G(1)). IAPD ↗
79
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC — grew from 47 to 56 advisory reps. IAPD ↗
79
CLEARBRIDGE INVESTMENTS, LLC — grew from 62 to 71 advisory reps. IAPD ↗
79
JW NOVA WEALTH PARTNERS — reports More than 500 financial-planning clients, up from 0. IAPD ↗
78
EARNED WEALTH ADVISORS, LLC — grew from 20 to 28 advisory reps. IAPD ↗
78
BEACON GLOBAL ADVISOR NETWORK, LLC — grew from 50 to 60 advisory reps. IAPD ↗
78
AUOUR INVESTMENTS LLC — now offers financial planning (Item 5G(1)). IAPD ↗
77
FRANKLIN MUTUAL ADVISERS, LLC — grew from 30 to 37 advisory reps. IAPD ↗
77
WAVERLY ADVISORS, LLC — grew from 190 to 197 advisory reps. IAPD ↗
77
QUARTZ PARTNERS INVESTMENT MANAGEMENT — grew from 13 to 22 advisory reps. IAPD ↗
76
O'SHAUGHNESSY ASSET MANAGEMENT, LLC — grew from 47 to 53 advisory reps. IAPD ↗
76
AWH FINANCIAL, LLC — grew from 50 to 61 advisory reps. IAPD ↗
76
PRIME CAPITAL FINANCIAL — grew from 239 to 245 advisory reps. IAPD ↗
76
ASPENRIDGE WEALTH ADVISORS — reports 251-500 financial-planning clients, up from 0. IAPD ↗
75
MADISON PARTNERS — grew from 12 to 17 advisory reps. IAPD ↗
75
L 1 GLOBAL WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
75
TRINITY STRATEGIC WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
SAGEGUARD FINANCIAL GROUP, LLC — grew from 7 to 12 advisory reps. IAPD ↗
73
RAYMOND JAMES INVESTMENT MANAGEMENT — grew from 2 to 5 advisory reps. IAPD ↗
73
CEDAR COVE WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
73
PATHFINDER WEALTH CONSULTING — 's provisional registration is now fully approved. IAPD ↗
73
ELEVATE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
MACCO FINANCIAL GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
73
KTF INVESTMENTS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
COLLABORATIVE CAPITAL ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
CLEAR TRAIL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
73
MARATHON FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
72
QUANTUM FINANCIAL PLANNING SERVICES, INC. — grew from 9 to 13 advisory reps. IAPD ↗
72
ELM WEALTH — grew from 5 to 7 advisory reps. IAPD ↗
71
O'SHAUGHNESSY ASSET MANAGEMENT, LLC — reported RAUM up 57% ($12.60B -> $19.78B). IAPD ↗
71
AZIMUT INVESTMENT ADVISORS LLC — grew from 5 to 8 advisory reps. IAPD ↗
70
HUTCHINSON CAPITAL MANAGEMENT — grew from 3 to 5 advisory reps. IAPD ↗
70
4:8 FINANCIAL — grew from 1 to 3 advisory reps. IAPD ↗
70
FUNDIFY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
MAVROS CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SERENITY CAPITAL ADVISORS INC. — 's provisional registration is now fully approved. IAPD ↗
70
AFT US CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
GRANITE ISLANDS PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
CROSSGEN WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
FIVANCIAL ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
70
INTER ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
ENCORE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
ARDEN GLOBAL FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
70
COUNTRYSIDE FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
ROTHWELL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
AVRIO WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
BLACK WALNUT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
LEGACY ROAD FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
70
MARATHON WEALTH PARTNERS, INC — 's provisional registration is now fully approved. IAPD ↗
69
INDEX TECHNOLOGIES GROUP LLC — reported RAUM up 75% ($105.0M -> $183.4M). IAPD ↗
68
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC — reported RAUM up 53% ($164.2M -> $250.7M). IAPD ↗
68
CONNECTIVE WEALTH PARTNERS, LLC — grew from 7 to 10 advisory reps. IAPD ↗
67
PUTNAM INVESTMENT MANAGEMENT, LLC — reported RAUM up 38% ($85.21B -> $117.24B). IAPD ↗
67
CAPSTONE INVESTMENT GROUP — grew from 6 to 8 advisory reps. IAPD ↗
67
PACIFIC POINT WEALTH MANAGEMENT — grew from 2 to 4 advisory reps. IAPD ↗
67
STEELHEAD WEALTH MANAGEMENT — grew from 1 to 3 advisory reps. IAPD ↗
66
QUARTZ PARTNERS INVESTMENT MANAGEMENT — reported RAUM up 42% ($281.0M -> $397.8M). IAPD ↗
66
ETHOS FINANCIAL GROUP, LLC — reported RAUM up 31% ($1.58B -> $2.06B). IAPD ↗
66
MOTLEY FOOL WEALTH MANAGEMENT, LLC — reports 251-500 financial-planning clients, up from 51-100. IAPD ↗
65
CALTON & ASSOCIATES, INC. — reported RAUM up 30% ($1.22B -> $1.58B). IAPD ↗
64
OCTOGONE NA — reported RAUM up 34% ($371.4M -> $497.8M). IAPD ↗
64
CIRCLE ADVISERS INC — reports 101-250 financial-planning clients, up from 26-50. IAPD ↗
63
SFE INVESTMENT COUNSEL INC. — reported RAUM up 29% ($581.6M -> $748.4M). IAPD ↗
63
CREATIVE INVESTMENT GROUP — reported RAUM up 41% ($145.8M -> $205.9M). IAPD ↗
63
RAYMOND JAMES & ASSOCIATES, INC. — reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
63
CALTON & ASSOCIATES, INC. — reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
63
JAMES INVESTMENT RESEARCH INC — reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
58
THE FOUNDRY FINANCIAL GROUP, INC. — reports 251-500 financial-planning clients, up from 101-250. IAPD ↗
58
SOVEREIGN ASSET MANAGEMENT — reports 1-10 financial-planning clients, up from 0. IAPD ↗
58
HERBEIN FINANCIAL GROUP, LLC — reports 51-100 financial-planning clients, up from 26-50. IAPD ↗
58
GRANITE ISLANDS PRIVATE WEALTH, LLC — reports 1-10 financial-planning clients, up from 0. IAPD ↗
88
PARK LANE ADVISORS, LLC — (BIRMINGHAM, AL) is newly SEC-registered with $553.5M RAUM and 4 advisory reps. IAPD ↗institutional
85
INFINITE GIVING ADVISORY SERVICES, INC. — (ATLANTA, GA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗institutional
85
INTER US MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $77.8M RAUM and 5 advisory reps. IAPD ↗institutional
85
FELIS ADVANTAGE, LP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
ARGO INFRASTRUCTURE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
85
WILLIS ASSET FINANCE MANAGEMENT LLC — (COCONUT CREEK, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
EMERGING CAPITAL PARTNERS — (WASHINGTON, DC) is newly SEC-registered with $1.06B RAUM and 5 advisory reps. IAPD ↗fund
85
NINTH AVENUE CAPITAL, LP — (KANSAS CITY, MO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
COMVEST PE ADVISORS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $2.16B RAUM and 23 advisory reps. IAPD ↗fund
85
OTTER ROCK ADVISORS LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
AUREON MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
MRE MANAGEMENT, LLC — (ANNAPOLIS, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
PARK SQUARE CAPITAL USA LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $20.75B RAUM and 53 advisory reps. IAPD ↗fund
85
OLD BARN CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $105.3M RAUM and 1 advisory reps. IAPD ↗institutional
85
BIRCHWOOD CREEK CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
ELMTREE FUNDS, LLC — (ST. LOUIS, MO) is newly SEC-registered with $7.51B RAUM and 18 advisory reps. IAPD ↗fund
85
VAULT FIDUCIARY LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PRELUDE INVESTMENT SERVICES — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
TAMARISK CAPITAL MANAGEMENT — (HOLLAND, MI) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
DHM PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
OAKLAWN CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
85
SHOTEN CAPITAL LP — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
83
FUTURE POSITIVE — (NEW YORK, NY) is newly SEC-registered with $255.7M RAUM and 3 advisory reps. IAPD ↗fund
83
MOZAYYX MANAGEMENT LLC — (AUSTIN, TX) is newly SEC-registered with $530.6M RAUM and 2 advisory reps. IAPD ↗fund
80
ARDINALL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $36.2M RAUM and 2 advisory reps. IAPD ↗fund
80
DELLORA INVESTMENTS LP — (GREENWICH, CT) is newly SEC-registered with $95.3M RAUM and 3 advisory reps. IAPD ↗fund
80
THE COPIA GROUP — (CHICAGO, IL) is newly SEC-registered with $118.9M RAUM and 6 advisory reps. IAPD ↗fund
80
BULLET VENTURES MANAGEMENT LTD — (location n/a) is newly SEC-registered with $13.6M RAUM and 2 advisory reps. IAPD ↗fund
70
LIFE CYCLE INVESTMENT PARTNERS LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $17.30B RAUM and 8 advisory reps. IAPD ↗foreign
68
68
68
PASCAL INVESTMENT ADVISERS SA — (GENEVA, Switzerland) is newly SEC-registered with $874.3M RAUM and 4 advisory reps. IAPD ↗foreign
65
VULPES INVESTMENT MANAGEMENT PRIVATE LIMITED — (SINGAPORE, Singapore) is newly SEC-registered with $157.5M RAUM and 3 advisory reps. IAPD ↗foreign
65
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC — (ACCRA, Ghana) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
65
ACTIVEALPHA INVESTMENT ADVISORS — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
65
ROVIA ADVISORS LLC — (BANGALORE, KAMATAKA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
BULLGROUND — (CIUDAD DE MÉXICO, Mexico) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
63
62
60
60
60
60
60
60
60
60
TCG STRATEGIC INCOME ADVISOR LLC — 's provisional registration is now fully approved. IAPD ↗institutional
60
59
59
58
58
58
58
58
58
58
58
55
55
55
55
55
55
54
51
46
43
41
40
40
JEFFERIES CREDIT PARTNERS EUROPE LIMITED — 's provisional registration is now fully approved. IAPD ↗foreign
37
36
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED — reported RAUM up 31% ($30.90B -> $40.52B). IAPD ↗foreign
36
35
33
LETKO, BROSSEAU & ASSOCIATES INC. — reports 51-100 financial-planning clients, up from 26-50. IAPD ↗foreign
31
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.