Portfolio / reporting / TAMP — December 2024
Portfolio accounting, reporting, rebalancing, and TAMPs (Orion, Black Diamond, Tamarac, SMArtX).
160 firms opened this window in the December 2024 SEC roster: 96 new registration, 34 pending approved, 22 aum up, 4 wrap program started, 2 aum crossed 1b, 2 aum crossed 500m.
98
KERBEROS CAPITAL MANAGEMENT LLC — (CHICAGO, IL) is newly SEC-registered with $270.0M RAUM and 4 advisory reps. IAPD ↗
95
MCMAHAN CAPITAL MANAGEMENT — (CARMEL, IN) is newly SEC-registered with $112.5M RAUM and 2 advisory reps. IAPD ↗
95
LEATHE & ASSOCIATES, LLC — (location n/a) is newly SEC-registered with $122.8M RAUM and 1 advisory reps. IAPD ↗
95
LIFEPLAN FINANCIAL, LLC — (MANKATO, MN) is newly SEC-registered with $125.2M RAUM and 3 advisory reps. IAPD ↗
95
INTEGRAL FINANCIAL PLANNING LLC — (location n/a) is newly SEC-registered with $124.0M RAUM and 1 advisory reps. IAPD ↗
95
S HARRIS FINANCIAL GROUP, LLC — (SAN ANTONIO, TX) is newly SEC-registered with $218.7M RAUM and 7 advisory reps. IAPD ↗
95
O'CONNOR WEALTH MANAGEMENT, INC. — (MONROVIA, CA) is newly SEC-registered with $153.7M RAUM and 2 advisory reps. IAPD ↗
95
DOWNING STREET WEALTH MANAGEMENT LLC — (GREENWOOD VILLAGE, CO) is newly SEC-registered with $152.1M RAUM and 2 advisory reps. IAPD ↗
95
BAUMAN WEALTH ADVISORS — (LAS VEGAS, NV) is newly SEC-registered with $104.7M RAUM and 4 advisory reps. IAPD ↗
95
REH WEALTH ADVISORS LLC — (RALEIGH, NC) is newly SEC-registered with $106.2M RAUM and 1 advisory reps. IAPD ↗
95
KAGAN COCOZZA ASSET MANAGEMENT — (location n/a) is newly SEC-registered with $130.6M RAUM and 2 advisory reps. IAPD ↗
95
GUARDIAN CAPITAL, LLC — (WEXFORD, PA) is newly SEC-registered with $105.9M RAUM and 3 advisory reps. IAPD ↗
95
SEABORN FINANCIAL, LLC — (location n/a) is newly SEC-registered with $107.2M RAUM and 1 advisory reps. IAPD ↗
95
LAVA WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $30.5M RAUM and 1 advisory reps. IAPD ↗
95
OCTO CAPITAL, LLC — (BINGHAM FARMS, MI) is newly SEC-registered with $133.9M RAUM and 1 advisory reps. IAPD ↗
95
BROADVIEW WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $109.0M RAUM and 1 advisory reps. IAPD ↗
95
STONE STEPS FINANCIAL, LLC — (ENCINITAS, CA) is newly SEC-registered with $105.0M RAUM and 3 advisory reps. IAPD ↗
95
FINANCIAL AURORA, LLC. — (AUSTIN, TX) is newly SEC-registered with $105.0M RAUM and 1 advisory reps. IAPD ↗
95
GUNCHEON FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.2M RAUM and 4 advisory reps. IAPD ↗
95
COPIA WEALTH MANAGEMENT — (BEND, OR) is newly SEC-registered with $119.6M RAUM and 4 advisory reps. IAPD ↗
95
SOUTH COVE FINANCIAL, LLC — (location n/a) is newly SEC-registered with $130.0M RAUM and 3 advisory reps. IAPD ↗
95
AFFINITY WEALTH LLC — (CANTON, OH) is newly SEC-registered with $155.4M RAUM and 1 advisory reps. IAPD ↗
95
INTELLIGENT INVESTING — (location n/a) is newly SEC-registered with $108.5M RAUM and 1 advisory reps. IAPD ↗
95
CMG FINANCIAL CONSULTING — (location n/a) is newly SEC-registered with $105.1M RAUM and 2 advisory reps. IAPD ↗
95
RICHMOND QUANTITATIVE ADVISORS, LLC — (location n/a) is newly SEC-registered with $19.9M RAUM and 2 advisory reps. IAPD ↗
95
KW WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 1 advisory reps. IAPD ↗
95
BRIGHTER FINANCIAL CAPITAL MANAGEMENT, LLC — (RESTON, VA) is newly SEC-registered with $112.1M RAUM and 2 advisory reps. IAPD ↗
95
BLUEDOOR PRIVATE WEALTH, LLC — (BEVERLY, MA) is newly SEC-registered with $102.7M RAUM and 1 advisory reps. IAPD ↗
95
WHEELS UP WEALTH, INC. — (BENICIA, CA) is newly SEC-registered with $104.0M RAUM and 3 advisory reps. IAPD ↗
95
STARK WEALTH MANAGEMENT LLC — (BETHLEHEM, PA) is newly SEC-registered with $131.7M RAUM and 1 advisory reps. IAPD ↗
95
TOBERMAN BECKER WEALTH, LLC — (ST. LOUIS, MO) is newly SEC-registered with $101.6M RAUM and 2 advisory reps. IAPD ↗
95
EMETH VALUE CAPITAL, LLC — (NEW ORLEANS, LA) is newly SEC-registered with $119.5M RAUM and 1 advisory reps. IAPD ↗
95
SIGNAL TREE FINANCIAL PARTNERS LLC — (COPLEY, OH) is newly SEC-registered with $134.7M RAUM and 3 advisory reps. IAPD ↗
95
CHARIS LEGACY PARTNERS — (BRYAN, TX) is newly SEC-registered with $102.4M RAUM and 1 advisory reps. IAPD ↗
95
OMNI FINANCIAL LLC — (MADISON, WI) is newly SEC-registered with $106.0M RAUM and 1 advisory reps. IAPD ↗
95
LT ADVISORS LLC — (location n/a) is newly SEC-registered with $42.6M RAUM and 1 advisory reps. IAPD ↗
95
CAPITAL SQUARED FINANCIAL LLC — (ROCKVILLE, MD) is newly SEC-registered with $108.6M RAUM and 2 advisory reps. IAPD ↗
95
DLK INVESTMENT ADVISORS, LLC — (MERCER ISLAND, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
MARICOPA CAPITAL PARTNERS, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
AIML TRADING PARTNERS — (COLD SPRING HARBOR, NY) is newly SEC-registered with $35.0M RAUM and 1 advisory reps. IAPD ↗
95
WHITWELL ADVISORS — (location n/a) is newly SEC-registered (provisional 120-day approval) with $55.4M RAUM and 3 advisory reps. IAPD ↗
95
ARCHLIGHT WEALTH MANAGEMENT LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 0 advisory reps. IAPD ↗
95
MESSINA WEALTH MANAGEMENT, LLC — (SPRING HILL, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INDIVISIBLE PARTNERS — (CLEARWATER, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
HOLISTIC WEALTH ADVISORS — (CLIFTON PARK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
95
HENDERSON FINANCIAL GROUP LLC — (VIRGINIA BEACH, VA) is newly SEC-registered with $105.5M RAUM and 3 advisory reps. IAPD ↗
95
INFLECTION CAPITAL MANAGEMENT, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
GEN INVEST LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CANDLESTICK AI — (NUTLEY, NJ) is newly SEC-registered with $1,000 RAUM and 2 advisory reps. IAPD ↗
95
MDT FINANCIAL ADVISORS — (WEBSTER, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
INVESTABLE — (DAYTON, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
VALOIR WEALTH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CHICAGO OAKBROOK FINANCIAL GROUP — (OAK BROOK, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
95
GBG WEALTH MANAGEMENT LLC — (LONE TREE, CO) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
95
GPS INVESTMENTS — (SCOTTSDALE, AZ) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
95
PRESIDIO WEALTH MANAGEMENT — (MIDVALE, UT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
BASTION FIDUCIARY — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 advisory reps. IAPD ↗
95
DICK ADVISORY GROUP — (TEWKSBURY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
CLARION CALL CAPITAL — (NEW YORK, NY) is newly SEC-registered with $54.3M RAUM and 1 advisory reps. IAPD ↗
95
GLOBAL TRUST WEALTH MANAGEMENT LLC — (WEST PALM BEACH, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
95
SANKOTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $26.0M 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 3 advisory reps. IAPD ↗
95
APEX INVESTMENT GROUP — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
95
AERIE ADVISORY GROUP LLC — (GIG HARBOR, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
95
PIEDMONT WEALTH ADVISORY — (RESTON, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
85
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC — crossed $1B in regulatory AUM ($854.3M -> $1.12B). IAPD ↗
75
CALIBER WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
75
SERENUS WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
75
IFC ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
73
U. S. BOSTON CAPITAL CORPORATION — reported RAUM up 156% ($131.1M -> $335.5M). IAPD ↗
73
BRIDGE GENERATIONS WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
73
BEARING POINT CAPITAL — 's provisional registration is now fully approved. IAPD ↗
73
MAY HILL CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗
73
ARGENTARII, LLC — 's provisional registration is now fully approved. IAPD ↗
73
SYRIOS WEALTH MANAGEMENT GROUP — 's provisional registration is now fully approved. IAPD ↗
73
CURA WEALTH ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
70
SEARLE & CO. — crossed $500M in regulatory AUM ($397.4M -> $649.0M). IAPD ↗
70
5C CAPITAL MANAGEMENT, LLC — crossed $500M in regulatory AUM ($474.8M -> $525.0M). IAPD ↗
70
INVESTALL, INC. — reported RAUM up 100% ($26.6M -> $53.1M). IAPD ↗
70
E6 PORTFOLIOS — reported RAUM up 2409% ($4.8M -> $120.1M). IAPD ↗
70
VISDOM INVESTMENT GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
MURPHY & MULLICK CAPITAL MANAGEMENT CORP — 's provisional registration is now fully approved. IAPD ↗
70
PROSPERA CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
GREENPORTFOLIO INC. — 's provisional registration is now fully approved. IAPD ↗
70
STURMAN WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
70
MOMENTUM WEALTH PLANNING — 's provisional registration is now fully approved. IAPD ↗
70
HAMPTON ROCK WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
70
BLUEHEEL LLC — 's provisional registration is now fully approved. IAPD ↗
70
PREMIER PRIVATE WEALTH MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
70
WAVVEST WEALTH — 's provisional registration is now fully approved. IAPD ↗
70
PARK SQUARE FINANCIAL GROUP LLC — 's provisional registration is now fully approved. IAPD ↗
70
ADVISIFI LLC — 's provisional registration is now fully approved. IAPD ↗
70
BEACON CAPITAL ADVISORY GROUP — 's provisional registration is now fully approved. IAPD ↗
69
VANDERBILT ADVISORY SERVICES — reported RAUM up 47% ($1.10B -> $1.62B). IAPD ↗
68
TITLEIST ASSET MANAGEMENT, LLC — reported RAUM up 41% ($1.40B -> $1.98B). IAPD ↗
67
CX INSTITUTIONAL, LLC — reported RAUM up 39% ($2.39B -> $3.31B). IAPD ↗
67
KERA CAPITAL PARTNERS — reported RAUM up 50% ($507.6M -> $760.8M). IAPD ↗
66
HBW ADVISORY SERVICES LLC — reported RAUM up 30% ($1.13B -> $1.48B). IAPD ↗
66
MIDWEST HERITAGE FINANCIAL ADVISORS — reported RAUM up 41% ($223.0M -> $314.2M). IAPD ↗
66
COPE CORRALES — reported RAUM up 60% ($153.4M -> $244.9M). IAPD ↗
65
STATE FARM INVESTMENT MANAGEMENT CORP. — began participating in a wrap-fee program. IAPD ↗
65
THE COLONY GROUP, LLC — began participating in a wrap-fee program. IAPD ↗
64
FPC INVESTMENT ADVISORY, INC. — reported RAUM up 32% ($225.3M -> $297.2M). IAPD ↗
64
RADIANT GLOBAL INVESTORS LLC — reported RAUM up 48% ($25.1M -> $37.0M). IAPD ↗
63
ELITE LIFE MANAGEMENT LLC — reported RAUM up 45% ($88.4M -> $127.9M). IAPD ↗
63
REFRAME WEALTH, LLC — began participating in a wrap-fee program. IAPD ↗
60
TERRAFIRMA WEALTH PARTNERS — reported RAUM up 29% ($62.0M -> $80.0M). IAPD ↗
60
CATOCTIN RIDGE WEALTH PARTNER — began participating in a wrap-fee program. IAPD ↗
90
BC PARTNERS PE L.P. — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $33.34B RAUM and 30 advisory reps. IAPD ↗institutional
85
SIMA RETIREMENT SOLUTIONS, LLC — (NORTH CHESTERFIELD, VA) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
GLOBAL STRATEGIC RISK MANAGEMENT, LLC — (PROVIDENCE, RI) is newly SEC-registered with $1.52B RAUM and 7 advisory reps. IAPD ↗fund
85
KATE CAPITAL LLC — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
COASTAL EQUITY MANAGEMENT, LLC — (PENSACOLA, FL) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
85
HARBOURVEST REGISTERED ADVISERS — (BOSTON, MA) is newly SEC-registered with $0 RAUM and 293 advisory reps. IAPD ↗institutional
85
M83 INVESTMENT GROUP, LLC — (CALABASAS, CA) is newly SEC-registered with $112.4M RAUM and 4 advisory reps. IAPD ↗institutional
85
MRBL MANAGEMENT, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
CAPRA IBEX CREDIT OPPORTUNITIES, LLC — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
LORD ABBETT FIF ADVISOR LLC — (JERSEY CITY, NJ) is newly SEC-registered with $0 RAUM and 264 advisory reps. IAPD ↗institutional
85
FLAGSHIP INVESTMENT MANAGEMENT LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗institutional
85
85
MARCELLUS INTERNATIONAL INVESTMENT MANAGERS LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
PSP RESEARCH LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
ERIC M FLANAGAN TRADING, LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KING RIDGE CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
BAYHUNT CAPITAL LLC — (MILL VALLEY, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
85
KARL KAPITAL — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
85
PAINSWICK CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
85
FORTUNA FUNDS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
85
NEXTGEN EMP — (COLUMBUS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗institutional
83
MCP ADVISERS, LLC — (ATLANTA, GA) is newly SEC-registered with $400.0M RAUM and 1 advisory reps. IAPD ↗fund
80
HC2 CAPITAL, LLC — (DALLAS, TX) is newly SEC-registered with $195.1M RAUM and 4 advisory reps. IAPD ↗fund
80
GRIZZLY CAPITAL MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $40.8M RAUM and 7 advisory reps. IAPD ↗fund
80
TCW PT MANAGEMENT COMPANY LLC — (LOS ANGELES, CA) is newly SEC-registered with $0 RAUM and 28 advisory reps. IAPD ↗fund
80
ABF INVESTMENT MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗fund
75
70
AVIVA INVESTORS CANADA INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $8.25B RAUM and 5 advisory reps. IAPD ↗foreign
68
GUARDIAN PARTNERS INC. — (TORONTO, ONTARIO, Canada) is newly SEC-registered with $388.2M RAUM and 8 advisory reps. IAPD ↗foreign
65
HIGHER PARK LIMITED — (LONDON, United Kingdom) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 10 advisory reps. IAPD ↗foreign
65
ARINI CAPITAL MANAGEMENT US LLC — 's provisional registration is now fully approved. IAPD ↗institutional
63
OPTIMIZED INVESTMENT PARTNERS, LLC — reported RAUM up 171% ($140.0M -> $380.0M). IAPD ↗institutional
63
3FOURTEEN & SMI ADVISORY SERVICES, LLC — reported RAUM up 194% ($160.0M -> $470.8M). IAPD ↗institutional
60
60
60
60
58
58
55
55
55
55
51
43
40
33
30
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.