Financial planning software — September 2026
Financial-planning, tax, and estate software (eMoney, MoneyGuide, RightCapital, Holistiplan, Wealth.com).
306 firms opened this window in the September 2026 SEC roster: 207 new registration, 45 pending approved, 22 headcount up, 22 aum up, 7 planning clients up, 3 planning started.
98
FLORIDA ATLANTIC SECURITIES CORP. — (MIAMI, FL) is newly SEC-registered with $590.0M RAUM and 4 advisory reps. IAPD ↗
98
PEARSON FINANCIAL SERVICES — (DENNIS, MA) is newly SEC-registered with $885.0M RAUM and 3 advisory reps. IAPD ↗
95
FIRST GEORGETOWN SECURITIES, INC — (ALEXANDRIA, VA) is newly SEC-registered with $115.7M RAUM and 2 advisory reps. IAPD ↗
95
INDEPENDENCE CAPITAL CO., INC. — (PARMA, OH) is newly SEC-registered with $118.7M RAUM and 25 advisory reps. IAPD ↗
95
SCOFIELD & COMPANY, LLC — (FAIRLAWN, OH) is newly SEC-registered with $113.6M RAUM and 3 advisory reps. IAPD ↗
95
PETERSON INVESTMENT MANAGEMENT INC — (location n/a) is newly SEC-registered with $146.1M RAUM and 2 advisory reps. IAPD ↗
95
HOWLAND AND ASSOCIATES, LLC — (ST PETERSBURG, FL) is newly SEC-registered with $138.7M RAUM and 4 advisory reps. IAPD ↗
95
CAPITOL WEALTH MANAGEMENT, INC. — (MCLEAN, VA) is newly SEC-registered with $111.9M RAUM and 1 advisory reps. IAPD ↗
95
MILNE FINANCIAL PLANNING, INC. — (SAINT JOHNSBURY, VT) is newly SEC-registered with $111.3M RAUM and 1 advisory reps. IAPD ↗
95
BLUE CHIP FINANCIAL ADVISORS, LLC — (EAST PROVIDENCE, RI) is newly SEC-registered with $104.1M RAUM and 5 advisory reps. IAPD ↗
95
THE MARIN GROUP INC. — (ATLANTA, GA) is newly SEC-registered with $128.1M RAUM and 2 advisory reps. IAPD ↗
95
SALTBOX FINANCIAL LLC — (PORTSMOUTH, NH) is newly SEC-registered with $104.6M RAUM and 3 advisory reps. IAPD ↗
95
HEATON FINANCIAL, PC — (CEDAR CITY, UT) is newly SEC-registered with $140.1M RAUM and 2 advisory reps. IAPD ↗
95
INDEX FINANCIAL ADVISORS LLC — (location n/a) is newly SEC-registered with $125.6M RAUM and 1 advisory reps. IAPD ↗
95
IMBER FINANCIAL GROUP, LLC — (ANN ARBOR, MI) is newly SEC-registered with $106.0M RAUM and 4 advisory reps. IAPD ↗
95
KMF INVESTMENTS MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $146.0M RAUM and 4 advisory reps. IAPD ↗
95
NORTH COMPASS FINANCIAL ADVISORS, LLC — (GRAND RAPIDS, MN) is newly SEC-registered with $146.0M RAUM and 3 advisory reps. IAPD ↗
95
BRIGHTON WEALTH MANAGEMENT, INC. — (COTTONWOOD HEIGHTS, UT) is newly SEC-registered with $131.9M RAUM and 1 advisory reps. IAPD ↗
95
FAIRWAY INVESTMENT GROUP, LLC — (EAST LANSING, MI) is newly SEC-registered with $107.1M RAUM and 26 advisory reps. IAPD ↗
95
INFINITY 8 INVESTMENTS, LLC — (CUPERTINO, CA) is newly SEC-registered with $123.9M RAUM and 1 advisory reps. IAPD ↗
95
O'CONNOR CAPITAL ADVISORY, LLC — (SCOTTSDALE, AZ) is newly SEC-registered with $112.1M RAUM and 1 advisory reps. IAPD ↗
95
AXIA WEALTH MANAGEMENT INC — (BEND, OR) is newly SEC-registered with $148.0M RAUM and 3 advisory reps. IAPD ↗
95
INTEGRA WEALTH ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered with $117.3M RAUM and 2 advisory reps. IAPD ↗
95
MEDIATE FINANCIAL INVESTMENT ADVISORY SERVICES, LLC — (CANFIELD, OH) is newly SEC-registered with $106.4M RAUM and 3 advisory reps. IAPD ↗
95
HILPAN MOXIE WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $100.4M RAUM and 1 advisory reps. IAPD ↗
95
SAWYER CAPITAL MANAGEMENT — (location n/a) is newly SEC-registered with $124.9M RAUM and 1 advisory reps. IAPD ↗
95
COBALT FINANCIAL PARTNERS LLC — (location n/a) is newly SEC-registered with $108.1M RAUM and 1 advisory reps. IAPD ↗
95
THREE OAKS WEALTH — (GOLD RIVER, CA) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
ARCWOOD FINANCIAL, LLC — (PHOENIX, AZ) is newly SEC-registered with $186.6M RAUM and 3 advisory reps. IAPD ↗
95
SEAGULL LANE ASSET MANAGEMENT LLC — (HUNTINGTON BEACH, CA) is newly SEC-registered with $207.9M RAUM and 2 advisory reps. IAPD ↗
95
ROBERT CHARLES CAPITAL MANAGEMENT — (GRAND RAPIDS, MI) is newly SEC-registered with $110.3M RAUM and 1 advisory reps. IAPD ↗
95
PATINA WEALTH — (location n/a) is newly SEC-registered with $129.2M RAUM and 2 advisory reps. IAPD ↗
95
EDEN CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $108.7M RAUM and 3 advisory reps. IAPD ↗
95
AFS WEALTH MANAGEMENT, LLC — (FARMINGTON HILLS, MI) is newly SEC-registered with $118.0M RAUM and 2 advisory reps. IAPD ↗
95
SABRE ASSET MANAGEMENT LLC — (PEPPER PIKE, OH) is newly SEC-registered with $127.3M RAUM and 1 advisory reps. IAPD ↗
95
STRONG INVESTMENT MANAGEMENT, LLC — (CANTON, OH) is newly SEC-registered with $111.9M RAUM and 3 advisory reps. IAPD ↗
95
CAPITAL WEALTH, LLC — (LEHI, UT) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
95
ENGAGE WEALTH ADVISORS, LLC — (OVERLAND PARK, KS) is newly SEC-registered with $112.1M RAUM and 3 advisory reps. IAPD ↗
95
SNYDER ASSET MANAGEMENT, LLC — (HUNT VALLEY, MD) is newly SEC-registered with $112.3M RAUM and 1 advisory reps. IAPD ↗
95
WESFAIR ADVISORY GROUP, INC. — (CHAPPAQUA, NY) is newly SEC-registered with $30.3M RAUM and 2 advisory reps. IAPD ↗
95
RCPLANNERS — (location n/a) is newly SEC-registered with $112.1M RAUM and 4 advisory reps. IAPD ↗
95
HAWS FINANCIAL PLANNING LLC — (SIERRA VISTA, AZ) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
CB CAPITAL LLC — (NORTH SMITHFIELD, RI) is newly SEC-registered with $124.5M RAUM and 1 advisory reps. IAPD ↗
95
ETORO USA ADVISERS INC. — (HOBOKEN, NJ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
ENDURANCE FINANCIAL PLANNING, LLC — (MCALLEN, TX) is newly SEC-registered with $101.8M RAUM and 4 advisory reps. IAPD ↗
95
TWIN RIVERS WEALTH MANAGEMENT — (SACRAMENTO, CA) is newly SEC-registered with $121.5M RAUM and 4 advisory reps. IAPD ↗
95
MESCHEL WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $107.5M RAUM and 2 advisory reps. IAPD ↗
95
ENGAGE WEALTH GROUP, LLC — (NORTHFIELD, IL) is newly SEC-registered with $119.5M RAUM and 2 advisory reps. IAPD ↗
95
GIVING TREE WEALTH ADVISORS — (SAN RAMON, CA) is newly SEC-registered with $138.0M RAUM and 2 advisory reps. IAPD ↗
95
UPLEVEL WEALTH — (PORTLAND, OR) is newly SEC-registered with $131.4M RAUM and 2 advisory reps. IAPD ↗
95
EQUINOX FINANCIAL ADVISORS, INC. — (MANCHESTER CENTER, VT) is newly SEC-registered with $110.9M RAUM and 1 advisory reps. IAPD ↗
95
ARCAP PARTNERS LLC — (PLAINVIEW, NY) is newly SEC-registered with $40.5M RAUM and 2 advisory reps. IAPD ↗
95
CAREGEN WEALTH MANAGEMENT — (SAN MATEO, CA) is newly SEC-registered with $109.9M RAUM and 1 advisory reps. IAPD ↗
95
MYTIMEEQUITY — (PLANO, TX) is newly SEC-registered with $184.0M RAUM and 3 advisory reps. IAPD ↗
95
SWAD WEALTH MANAGEMENT LLC — (SANTA ROSA, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps. IAPD ↗
95
REDFISH CAPITAL — (CYPRESS, TX) is newly SEC-registered with $119.0M RAUM and 4 advisory reps. IAPD ↗
95
OAKLEIGH WEALTH SERVICES — (CROZET, VA) is newly SEC-registered with $102.5M RAUM and 2 advisory reps. IAPD ↗
95
CANTATA WEALTH MANAGEMENT, LLC — (CORAL GABLES, FL) is newly SEC-registered with $101.1M RAUM and 3 advisory reps. IAPD ↗
95
INVESTLINC WEALTH SERVICES — (BREA, CA) is newly SEC-registered with $115.6M RAUM and 2 advisory reps. IAPD ↗
95
ACACIA GROVE WEALTH MANAGEMENT — (SCHENECTADY, NY) is newly SEC-registered with $41.6M RAUM and 1 advisory reps. IAPD ↗
95
BACK BAY FINANCIAL PLANNING & INVESTMENTS — (BETHANY BEACH, DE) is newly SEC-registered with $120.5M RAUM and 2 advisory reps. IAPD ↗
95
SFUMATO CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $51.3M RAUM and 2 advisory reps. IAPD ↗
95
POWERHOUSE FINANCIAL ADVISORS, INC. — (MINDEN, NV) is newly SEC-registered with $108.2M RAUM and 1 advisory reps. IAPD ↗
95
INTERCHANGE ADVISERS LLC — (VANCOUVER, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
REGIMENT CAPITAL ADVISORS, LLC — (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALTURA PRIVATE WEALTH LLC — (CENTERVILLE, UT) is newly SEC-registered with $129.1M RAUM and 4 advisory reps. IAPD ↗
95
GALLATIN RIVER CAPITAL LLC — (LITTLETON, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
95
BUCKS CAPITAL ADVISERS — (NEWTOWN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
MIFEL CAPITAL PARTNERS LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
REGFI USA, LLC — (MIAMI, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
95
SUISSA PRIVATE WEALTH — (BETHESDA, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AURA INVESTMENTS LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CARAZO WEALTH MANAGEMENT — (METAIRIE, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
NEURALVEST LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
SWISS FINANCE PRIVATE WEALTH MANAGEMENT LLC — (SOUTHBURY, CT) is newly SEC-registered with $101.2M RAUM and 1 advisory reps. IAPD ↗
95
OWNIT TECHNOLOGIES LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALPINE ADVISORY PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PALUS ADVISORY LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOAINVEST LLC — (IRVINE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps. IAPD ↗
95
DITTO & POWERS, LLC — (COCKEYSVILLE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
INTENTIONAL WEALTH PLANNING — (BRENTWOOD, TN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GSP FINANCIAL — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
STRUCTURE WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered with $165.7M RAUM and 2 advisory reps. IAPD ↗
95
COVA PRIVATE WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
95
COINAGE APP — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
RBG CAPITAL LLC — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
1977 WEALTH, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ALDER CAPITAL — (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
WRIGHT FINANCIAL — (ROCKLAND, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TWIN BRIDGES ADVISORY — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WESTMONT ADVISORY, LLC — (FLOWER MOUND, TX) is newly SEC-registered with $100.0M RAUM and 2 advisory reps. IAPD ↗
95
MOMENTUM WEALTH MANAGEMENT — (OREM, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
SUM ZERO WEALTH — (ST. PETERSBURG, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
SOLID STATE WEALTH ADVISORY GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TRIVERA WEALTH MANAGEMENT, LLC — (TUCSON, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CXL CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
FOSTER FINANCIAL SERVICES, LLC — (FORT WAYNE, IN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
GENERATIONAL FINANCIAL PARTNERS, LLC — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
ALISIO CAPITAL PARTNERS LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
95
IRON HORSE ASSET MANAGEMENT LLC — (NEENAH, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
SCSC ADVISORS, LLC — (RANCHO SANTA FE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
CROSSLIGHT GLOBAL INVESTMENT PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
AMPLE WEALTH PARTNERS LLC — (ORLANDO, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
TWENTY FOUR WEALTH — (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
WEALTHRISE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ETHOS INVESTMENT ADVISORY GROUP LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
ASCENTIO CAPITAL, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
WATCH HILL FINANCIAL INC — (RICHMOND, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
RIDGE ROAD WEALTH MANAGEMENT, LLC — (NEW ORLEANS, LA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
SAVLAN WEALTH PARTNERS — (NEW CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
AUTHENTIC WEALTH PARTNERS LLC — (CULPEPER, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
ALDEBARAN CAPITAL — (BROOKLYN, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
80
TD PRIVATE CLIENT WEALTH LLC — now offers financial planning (Item 5G(1)). IAPD ↗
78
RF&L WEALTH MANAGEMENT, LLC — now offers financial planning (Item 5G(1)). IAPD ↗
77
RUBINBROWN ADVISORS LLC — grew from 21 to 28 advisory reps. IAPD ↗
75
EVERTERN WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
75
EVOLUTION VISION WEALTH MANAGEMENT — now offers financial planning (Item 5G(1)). IAPD ↗
74
BLEICHROEDER LP — grew from 6 to 10 advisory reps. IAPD ↗
73
IKALON ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
15 WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
PRAIRIE ADVISORY, LLC — 's provisional registration is now fully approved. IAPD ↗
73
LAS OLAS CAPITAL WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
73
SHAH WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
73
FACTORPOINT PLANNING, LLC — 's provisional registration is now fully approved. IAPD ↗
73
TBG-BEDFORD GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
73
N10° WEALTH — 's provisional registration is now fully approved. IAPD ↗
73
VENEROSO WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
N10° ASSETS — 's provisional registration is now fully approved. IAPD ↗
73
MARDIN CAPITAL GROUP — 's provisional registration is now fully approved. IAPD ↗
73
VALEN PRIVATE CAPITAL, LLC. — 's provisional registration is now fully approved. IAPD ↗
73
LIBERTY FORGE LLC — 's provisional registration is now fully approved. IAPD ↗
73
SILVER BIRCH FINANCIAL LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
72
CASTLE ROCK ADVISORS LLC — reported RAUM up 62% ($2.38B -> $3.86B). IAPD ↗
72
ARQ WEALTH ADVISORS, LLC — grew from 9 to 11 advisory reps. IAPD ↗
71
PROSPERITY - AN EISNERAMPER COMPANY — reported RAUM up 58% ($3.20B -> $5.04B). IAPD ↗
71
TAMALPAIS ASSET MANAGEMENT — grew from 4 to 7 advisory reps. IAPD ↗
71
EMPOWER WEALTH MANAGEMENT — grew from 5 to 8 advisory reps. IAPD ↗
71
DESIGNED WEALTH USA LTD. — grew from 1 to 7 advisory reps. IAPD ↗
71
SILVER BIRCH FINANCIAL LLC — grew from 1 to 4 advisory reps. IAPD ↗
70
MANHATTAN WEALTH MANAGEMENT GROUP — reported RAUM up 283% ($40.0M -> $153.1M). IAPD ↗
70
SAHARA INVESTMENT GROUP — reported RAUM up 315% ($52.6M -> $218.1M). IAPD ↗
70
MACDOUGALL FINANCIAL COUNSELING — grew from 2 to 4 advisory reps. IAPD ↗
70
PATHFINDER PLANNING AND INVESTMENTS — 's provisional registration is now fully approved. IAPD ↗
70
SAVILE PRIVATE WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
70
WLT PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
CULTIVATE WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
70
JQL WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
CMG WEALTH ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
70
CUSTOM WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
TAO PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AWAKEN WEALTH PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
WHITE HAWK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
VERITAS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
SAHARA INVESTMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
70
CHILDRESS & CO LLC — 's provisional registration is now fully approved. IAPD ↗
70
CAMBIER CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
70
FACTORY CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
70
PRAIRIE VIEW WEALTH PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗
70
NOW ASSET MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗
70
QUEST WEALTH SOLUTIONS, INC. — 's provisional registration is now fully approved. IAPD ↗
70
NEARSIDE ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
NEXT UP WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
AWAKEN WEALTH PARTNERS LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
70
NEARSIDE ADVISORS, LLC — reports 101-250 financial-planning clients, up from 0. IAPD ↗
70
LIBERTY FORGE LLC — reports 51-100 financial-planning clients, up from 0. IAPD ↗
69
SIMPLIFY ASSET MANAGEMENT INC. — reported RAUM up 46% ($9.64B -> $14.05B). IAPD ↗
69
WINDWARD MANAGEMENT LP — reported RAUM up 73% ($110.5M -> $191.6M). IAPD ↗
68
ALPHACORE CAPITAL LLC — reported RAUM up 44% ($9.03B -> $12.96B). IAPD ↗
67
PACIFIC EXCEL WEALTH ADVISORS, INC. — grew from 1 to 3 advisory reps. IAPD ↗
67
LUEDTKE & ASSOCIATES LLC — grew from 1 to 3 advisory reps. IAPD ↗
67
MANHATTAN WEALTH MANAGEMENT GROUP — grew from 1 to 3 advisory reps. IAPD ↗
67
CMG WEALTH ADVISORS LLC — grew from 1 to 3 advisory reps. IAPD ↗
63
ARQ WEALTH ADVISORS, LLC — reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
62
DYNAMIC WEALTH ADVISORS — reported RAUM up 38% ($140.1M -> $193.3M). IAPD ↗
61
MH & ASSOCIATES SECURITIES MANAGEMENT CORPORATION — reported RAUM up 33% ($150.5M -> $200.2M). IAPD ↗
61
WALLICK INVESTMENTS, LLC — reported RAUM up 33% ($126.5M -> $168.3M). IAPD ↗
61
NORTHWIND FINANCIAL LLC — reported RAUM up 35% ($105.4M -> $142.2M). IAPD ↗
61
BIG INVESTMENT SERVICES — reports More than 500 financial-planning clients, up from 251-500. IAPD ↗
60
NGC FINANCIAL, LLC — reported RAUM up 26% ($57.1M -> $71.9M). IAPD ↗
58
NOW ASSET MANAGEMENT LLC — reports 1-10 financial-planning clients, up from 0. IAPD ↗
88
NUMERIXS INVESTMENT TECHNOLOGIES INC — (CHANDLER, AZ) is newly SEC-registered with $400.0M RAUM and 3 advisory reps. IAPD ↗institutional
88
ACCESS FIDUCIARY SERVICES, LLC — (location n/a) is newly SEC-registered with $466.2M RAUM and 1 advisory reps. IAPD ↗institutional
85
ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC — (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
PSG CREDIT GP, LLC — (COLUMBIA, MD) is newly SEC-registered with $190.9M RAUM and 18 advisory reps. IAPD ↗institutional
85
WNDRCO CAPITAL MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered with $1.05B RAUM and 14 advisory reps. IAPD ↗fund
85
INVISION MANAGEMENT, INC. — (CHICAGO, IL) is newly SEC-registered with $1.34B RAUM and 26 advisory reps. IAPD ↗fund
85
ACCESS VENTURES — (NEW YORK, NY) is newly SEC-registered with $1.88B RAUM and 3 advisory reps. IAPD ↗fund
85
EXCORDE CAPITAL LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 19 advisory reps. IAPD ↗institutional
85
CORRUM CAPITAL MANAGEMENT LLC — (CHARLOTTE, NC) is newly SEC-registered with $1.39B RAUM and 10 advisory reps. IAPD ↗fund
85
ULTRA CAPITAL MANAGEMENT LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CONSTITUTION CAPITAL HORIZON ADVISOR, LP — (ANDOVER, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 25 advisory reps. IAPD ↗institutional
85
WEST RIM II UGP, LLC — (LEHI, UT) is newly SEC-registered with $1.77B RAUM and 20 advisory reps. IAPD ↗fund
85
JUSTICE SETTLEMENT CONSULTING INC. — (CASPER, WY) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
MML CAPITAL PARTNERS NY, LLC — (NEW YORK CITY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CHARLTON MANAGEMENT, LLC — (CLAWSON, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
LONGNOOK ETF LLC — (location n/a) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
CHAMPION CAPITAL LLC — (GREENWOOD, CO) is newly SEC-registered (provisional 120-day approval) with $100,000 RAUM and 2 advisory reps. IAPD ↗institutional
85
CLEARLAKE CAPITAL RIC MANAGEMENT, LLC — (SANTA MONICA, CA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
UDY ROAD HOLDINGS — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
EVERLONG CAPITAL FUND MANAGEMENT, LP — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
85
BRITE AVENUE CAPITAL LP — (SCARSDALE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
WELTHY ADVISERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
WISDOMTREE VENTURES MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 0 advisory reps. IAPD ↗institutional
85
PEAK NINE CAPITAL ADVISORS, LLC — (NAPLES, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
NAVIAN INVESTMENT MANAGEMENT — (CINCINNATI, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
83
CRUX CAPITAL LTD — (DALLAS, TX) is newly SEC-registered with $427.6M RAUM and 8 advisory reps. IAPD ↗fund
83
ACP VENTURE CAPITAL MANAGEMENT FUND LLC — (HAUPPAUGE, NY) is newly SEC-registered with $785.7M RAUM and 1 advisory reps. IAPD ↗fund
83
3B1 PARTNERS, LLC — (NEW YORK, NY) is newly SEC-registered with $391.6M RAUM and 4 advisory reps. IAPD ↗fund
83
3SPOKE MANAGEMENT, LLC — (IRVINE, CA) is newly SEC-registered with $254.3M RAUM and 5 advisory reps. IAPD ↗fund
83
UNLESS MANAGEMENT LP — (BOULDER, CO) is newly SEC-registered with $252.7M RAUM and 4 advisory reps. IAPD ↗fund
83
CERTUM GROUP — (NEWARK, NJ) is newly SEC-registered with $275.6M RAUM and 16 advisory reps. IAPD ↗fund
83
CHAMPION HILL LABS, LLC — (location n/a) is newly SEC-registered with $289.1M RAUM and 2 advisory reps. IAPD ↗fund
83
LEVEL VENTURES MANAGEMENT LLC — (SUNNY ISLES BEACH, FL) is newly SEC-registered with $310.9M RAUM and 2 advisory reps. IAPD ↗fund
83
ADVAITA CAPITAL LLC — (BOSTON, MA) is newly SEC-registered with $315.7M RAUM and 3 advisory reps. IAPD ↗fund
83
MONARCH COLLECTIVE — (location n/a) is newly SEC-registered with $252.0M RAUM and 4 advisory reps. IAPD ↗fund
83
BREYTA CAPITAL PARTNERS — (BROOKLYN, NY) is newly SEC-registered with $377.6M RAUM and 4 advisory reps. IAPD ↗fund
83
NEW VINTAGE PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $281.5M RAUM and 4 advisory reps. IAPD ↗fund
83
N.L.C. LLC — (BOCA RATON, FL) is newly SEC-registered with $286.1M RAUM and 2 advisory reps. IAPD ↗fund
83
PONTEM INVESTMENT MANAGEMENT COMPANY — (HOUSTON, TX) is newly SEC-registered with $279.1M RAUM and 6 advisory reps. IAPD ↗fund
83
NEMAN VENTURES LLC — (location n/a) is newly SEC-registered with $853.7M RAUM and 1 advisory reps. IAPD ↗fund
83
SWAN INVESTMENT PARTNERS — (OLD GREENWICH, CT) is newly SEC-registered with $334.2M RAUM and 4 advisory reps. IAPD ↗fund
83
MARATHON MANAGEMENT PARTNERS LLC — (BEVERLY HILLS, CA) is newly SEC-registered with $340.0M RAUM and 5 advisory reps. IAPD ↗fund
83
SHENANDOAH ENERGY MANAGEMENT, LLC — (HIGHLANDS RANCH, CO) is newly SEC-registered with $253.9M RAUM and 3 advisory reps. IAPD ↗fund
83
154 PARTNERS INVESTMENT MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $438.1M RAUM and 12 advisory reps. IAPD ↗fund
83
DOMINARI IM LLC — (NEW YORK, NY) is newly SEC-registered with $302.4M RAUM and 2 advisory reps. IAPD ↗fund
83
SQUADRON CAPITAL MANAGEMENT LLC — (OAK BROOK, IL) is newly SEC-registered with $385.7M RAUM and 3 advisory reps. IAPD ↗fund
83
NOVO HOLDINGS US INVESTMENT ADVISOR, INC. — (BOSTON, MA) is newly SEC-registered with $338.6M RAUM and 15 advisory reps. IAPD ↗fund
83
SEVEN FLEET CAPITAL MANAGEMENT LP — (location n/a) is newly SEC-registered with $434.6M RAUM and 3 advisory reps. IAPD ↗fund
83
CSR CAPITAL — (DALLAS, TX) is newly SEC-registered with $268.7M RAUM and 6 advisory reps. IAPD ↗fund
83
AMERICAN VENTURES IM LLC — (PALM BEACH GARDENS, FL) is newly SEC-registered with $835.2M RAUM and 2 advisory reps. IAPD ↗fund
83
PELICAN CAPITAL MANAGEMENT LLC — (location n/a) is newly SEC-registered with $347.8M RAUM and 2 advisory reps. IAPD ↗fund
83
BROAD REACH RETAIL PARTNERS LLC — (MILLERSVILLE, MD) is newly SEC-registered with $309.0M RAUM and 4 advisory reps. IAPD ↗fund
83
LEH III MANAGEMENT LLC — (ENGLEWOOD, CO) is newly SEC-registered with $335.9M RAUM and 7 advisory reps. IAPD ↗fund
83
CANYON ABF MANAGER LLC — (DALLAS, TX) is newly SEC-registered with $300.0M RAUM and 14 advisory reps. IAPD ↗fund
80
KVP CAPITAL ADVISORS, LP — (location n/a) is newly SEC-registered with $220.9M RAUM and 2 advisory reps. IAPD ↗fund
80
ARMATUS CAPITAL MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $241.0M RAUM and 2 advisory reps. IAPD ↗fund
80
SUN MOUNTAIN PARTNERS, LLC — (location n/a) is newly SEC-registered with $187.2M RAUM and 1 advisory reps. IAPD ↗fund
80
MARA RIVER CAPITAL MANAGEMENT, LP — (CORAL GABLES, FL) is newly SEC-registered with $217.7M RAUM and 3 advisory reps. IAPD ↗fund
80
LAS OLAS VENTURE CAPITAL — (FORT LAUDERDALE, FL) is newly SEC-registered with $231.2M RAUM and 6 advisory reps. IAPD ↗fund
80
HMC CAPITAL US — (NEW YORK, NY) is newly SEC-registered with $174.7M RAUM and 2 advisory reps. IAPD ↗fund
80
ALTURA CAPITAL — (CORAL GABLES, FL) is newly SEC-registered with $159.5M RAUM and 10 advisory reps. IAPD ↗fund
80
PARATAXIS CAPITAL MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $83.7M RAUM and 3 advisory reps. IAPD ↗fund
80
THE NEWCASTLE NETWORK LP — (WELLESLEY, MA) is newly SEC-registered with $222.8M RAUM and 7 advisory reps. IAPD ↗fund
80
MISSION TRAIL CAPITAL MANAGEMENT, LLC — (AUSTIN, TX) is newly SEC-registered with $214.5M RAUM and 3 advisory reps. IAPD ↗fund
80
SNOW PEAK CAPITAL, LLC — (BROOMFIELD, CO) is newly SEC-registered with $174.3M RAUM and 7 advisory reps. IAPD ↗fund
80
INVESTX ASSET MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered with $206.8M RAUM and 16 advisory reps. IAPD ↗fund
80
CYPRESS RIDGE CAPITAL, L.P. — (NEW YORK, NY) is newly SEC-registered with $194.1M RAUM and 6 advisory reps. IAPD ↗fund
80
EXPECT EQUITY LLC — (PIKESVILLE, MD) is newly SEC-registered with $167.2M RAUM and 4 advisory reps. IAPD ↗fund
80
BALANCE CAPITAL PARTNERS L.P. — (MIAMI, FL) is newly SEC-registered with $195.7M RAUM and 2 advisory reps. IAPD ↗fund
80
ERIE STREET GROWTH PARTNERS — (CHICAGO, IL) is newly SEC-registered with $221.2M RAUM and 2 advisory reps. IAPD ↗fund
80
ROUND2 INVESTMENT PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $196.4M RAUM and 2 advisory reps. IAPD ↗fund
80
SORYN IP CAPITAL MANAGEMENT — (MILLBURN, NJ) is newly SEC-registered with $168.1M RAUM and 3 advisory reps. IAPD ↗fund
80
KONEKTIS CAPITAL — (NEW YORK, NY) is newly SEC-registered with $149.8M RAUM and 2 advisory reps. IAPD ↗fund
80
HIGHLAND RIM CAPITAL, L.P. — (NASHVILLE, TN) is newly SEC-registered with $209.7M RAUM and 7 advisory reps. IAPD ↗fund
80
COVALENCE INVESTMENT PARTNERS, L.P. — (HOUSTON, TX) is newly SEC-registered with $238.4M RAUM and 7 advisory reps. IAPD ↗fund
80
F3 PARTNERS LLC — (NEW YORK, NY) is newly SEC-registered with $204.6M RAUM and 5 advisory reps. IAPD ↗fund
80
CONIFER INFRASTRUCTURE PARTNERS — (SEWICKLEY, PA) is newly SEC-registered with $164.8M RAUM and 6 advisory reps. IAPD ↗fund
80
CLARA VISTA MANAGEMENT COMPANY LLC — (NEW YORK, NY) is newly SEC-registered with $169.4M RAUM and 3 advisory reps. IAPD ↗fund
80
WINGMAN GROWTH PARTNERS — (GREENWICH, CT) is newly SEC-registered with $167.2M RAUM and 6 advisory reps. IAPD ↗fund
80
CLEANHILL PARTNERS — (NEW YORK, NY) is newly SEC-registered with $184.4M RAUM and 5 advisory reps. IAPD ↗fund
80
80
NDH OPPORTUNITY LLC — (location n/a) is newly SEC-registered with $235.4M RAUM and 1 advisory reps. IAPD ↗fund
80
SILVERCAP PARTNERS — (CHARLOTTE, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗fund
80
VICTORYARC HOLDINGS LP — (GREENWICH, CT) is newly SEC-registered (provisional 120-day approval) with $41.2M RAUM and 2 advisory reps. IAPD ↗fund
80
LENDISTRY CAPITAL PARTNERS, LLC — (LOS ANGELES, CA) is newly SEC-registered with $213.4M RAUM and 5 advisory reps. IAPD ↗fund
70
QUAERO CAPITAL SA — (GENEVA, Switzerland) is newly SEC-registered with $3.21B RAUM and 22 advisory reps. IAPD ↗foreign
70
COVALIS (GIBRALTAR) LIMITED — (MIDTOWN, QUEENSWAY, Gibraltar) is newly SEC-registered with $4.76B RAUM and 1 advisory reps. IAPD ↗foreign
70
CINVEN LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $42.71B RAUM and 100 advisory reps. IAPD ↗foreign
70
AQUAMARINE FINANCIAL (CAYMAN) LTD — (GRAND CAYMAN, Cayman Islands) is newly SEC-registered with $5.76B RAUM and 2 advisory reps. IAPD ↗foreign
68
BANYAN TREE ADVISORS PVT. LTD. — (BANGALORE, India) is newly SEC-registered with $561.5M RAUM and 21 advisory reps. IAPD ↗foreign
67
66
65
JUBARTE ASSET MANAGEMENT LTDA. — (SAO PAULO, SAO PAULO, Brazil) is newly SEC-registered with $57.0M RAUM and 4 advisory reps. IAPD ↗foreign
65
WORLDLINE CAPITAL PTE. LTD. — (HONG KONG, Hong Kong) is newly SEC-registered with $24.1M RAUM and 3 advisory reps. IAPD ↗foreign
65
MERCOR INVESTMENT — (SAN ANDRES CHOLULA, PUEBLA, Mexico) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
65
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
62
62
62
60
60
60
AJAX HEALTH MANAGEMENT COMPANY, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
58
THE OPERATORS FUND INVESTMENT MANAGEMENT, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
58
58
58
58
57
55
55
55
55
55
55
53
48
48
45
45
43
35
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.