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Portfolio / reporting / TAMP — January 2026

Portfolio accounting, reporting, rebalancing, and TAMPs (Orion, Black Diamond, Tamarac, SMArtX).

204 firms opened this window in the January 2026 SEC roster: 115 new registration, 45 pending approved, 23 aum up, 10 aum crossed 500m, 7 aum crossed 1b, 4 wrap program started.

Months: October 2026 · September 2026 · August 2026 · July 2026 · June 2026 · May 2026 · April 2026 · March 2026 · February 2026 · January 2026 · December 2025 · August 2025 · July 2025 · June 2025 · May 2025 · April 2025 · March 2025 · February 2025 · January 2025 · December 2024 · November 2024 · October 2024 · September 2024 · August 2024 · July 2024 · June 2024 · May 2024 · April 2024 · March 2024 · February 2024

98
TACTICA LLC — (location n/a) is newly SEC-registered with $418.0M RAUM and 1 advisory reps. IAPD ↗
$418.0M RAUM · 1 reps · 787-585-8095
98
PROSPERITY FINANCIAL GROUP, INC. — (SAN RAMON, CA) is newly SEC-registered with $358.9M RAUM and 9 advisory reps. IAPD ↗
$358.9M RAUM · 9 reps · 925-314-8500 · 401kprosperityfg.com
95
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC — (MADISON, WI) is newly SEC-registered with $159.6M RAUM and 2 advisory reps. IAPD ↗
$159.6M RAUM · 2 reps · 608-827-6414
95
INTEGRITY WEALTH MANAGEMENT, LLC — (location n/a) is newly SEC-registered with $105.4M RAUM and 3 advisory reps. IAPD ↗
$105.4M RAUM · 3 reps · 513-289-2625 · iwmcfp.net
95
BELLEAIR WEALTH MANAGEMENT, LLC — (BELLEAIR BLUFFS, FL) is newly SEC-registered with $113.0M RAUM and 5 advisory reps. IAPD ↗
$113.0M RAUM · 5 reps · 727-586-5655
95
A SLING & A STONE, INCORPORATED — (BURNET, TX) is newly SEC-registered with $105.2M RAUM and 2 advisory reps. IAPD ↗
$105.2M RAUM · 2 reps · 512-553-5151 · investorsadv.com
95
ARM FINANCIAL LLC — (location n/a) is newly SEC-registered with $45.1M RAUM and 1 advisory reps. IAPD ↗
$45.1M RAUM · 1 reps · 617-520-4044 · indexplus.co
95
GENESIS ADVISORS, LLC — (FISHERS, IN) is newly SEC-registered with $120.6M RAUM and 4 advisory reps. IAPD ↗
$120.6M RAUM · 4 reps · 317-577-6900 · genesisadvisors.net
95
ESMEB INC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 703-340-8011 · waterfallwealth.ai
95
FINANCIAL AVENUES — (location n/a) is newly SEC-registered with $127.7M RAUM and 2 advisory reps. IAPD ↗
$127.7M RAUM · 2 reps · 913-735-7283 · myfinancialavenues.com
95
FORTITUDE WEALTH MANAGEMENT — (MURFREESBORO, TN) is newly SEC-registered with $103.0M RAUM and 1 advisory reps. IAPD ↗
$103.0M RAUM · 1 reps · 615-878-2134 · jasonquallscfp.com
95
SIGNAL RIDGE CAPITAL PARTNERS, LLC — (FRAMINGHAM, MA) is newly SEC-registered with $110.6M RAUM and 4 advisory reps. IAPD ↗
$110.6M RAUM · 4 reps · 617-607-3222
95
VERSATILE CAPITAL MANAGEMENT L.L.C. — (CHICAGO, IL) is newly SEC-registered with $114.2M RAUM and 2 advisory reps. IAPD ↗
$114.2M RAUM · 2 reps · 312-981-9848
95
BRIA CAPITAL GROUP, LLC — (WESLEY CHAPEL, FL) is newly SEC-registered with $113.4M RAUM and 3 advisory reps. IAPD ↗
$113.4M RAUM · 3 reps · 813-448-1122
95
LDN WEALTH, LLC — (ORLANDO, FL) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (407) 567 1945
95
WEALTHRISE FINANCIAL PLANNING, LLC — (CARLSBAD, CA) is newly SEC-registered with $124.2M RAUM and 2 advisory reps. IAPD ↗
$124.2M RAUM · 2 reps · (760) 508-0368
95
IMPACT FIDUCIARY LLC — (PASADENA, CA) is newly SEC-registered with $116.0M RAUM and 2 advisory reps. IAPD ↗
$116.0M RAUM · 2 reps · 323-615-1427
95
PROSPERO WEALTH, LLC — (location n/a) is newly SEC-registered with $100.3M RAUM and 7 advisory reps. IAPD ↗
$100.3M RAUM · 7 reps · 971-716-1991
95
CENTRAL WEALTH MANAGEMENT LLC — (MADISON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 608-841-1555
95
BLUE JAY FINANCIAL GROUP, LLC — (DEFIANCE, OH) is newly SEC-registered with $107.1M RAUM and 2 advisory reps. IAPD ↗
$107.1M RAUM · 2 reps · 419-785-4525
95
MODERN FINANCIAL PLANNING — (GEORGETOWN, TX) is newly SEC-registered with $110.0M RAUM and 2 advisory reps. IAPD ↗
$110.0M RAUM · 2 reps · (510) 519-7009 · modernfp.com
95
MD WEALTH MANAGEMENT, LLC — (CHELSEA, MI) is newly SEC-registered with $105.9M RAUM and 2 advisory reps. IAPD ↗
$105.9M RAUM · 2 reps · 734-433-9600 · mdwmllc.com
95
OMNITRUST WEALTH MANAGEMENT, INC. — (JACKSONVILLE, FL) is newly SEC-registered with $106.1M RAUM and 1 advisory reps. IAPD ↗
$106.1M RAUM · 1 reps · 904-619-4351
95
FINAMEX ASSET MANAGEMENT, LLC — (HOUSTON, TX) is newly SEC-registered with $104.0M RAUM and 4 advisory reps. IAPD ↗
$104.0M RAUM · 4 reps · 713-589-7121
95
MUSE CAPITAL MANAGEMENT LLC — (SANTA MONICA, CA) is newly SEC-registered with $103.8M RAUM and 1 advisory reps. IAPD ↗
$103.8M RAUM · 1 reps · 908-752-1002 · musecap.com
95
CALEO CAPITAL N.A. LLC — (PONTE VEDRA, FL) is newly SEC-registered with $100.8M RAUM and 4 advisory reps. IAPD ↗
$100.8M RAUM · 4 reps · 609 838 1245 · caleocapital-usa.com
95
WMK INVESTMENT PARTNERS — (location n/a) is newly SEC-registered with $129.3M RAUM and 4 advisory reps. IAPD ↗
$129.3M RAUM · 4 reps · (818) 804-1508 · wmkinvestmentpartners.com
95
COPPERWOOD FINANCIAL — (BURR RIDGE, IL) is newly SEC-registered with $108.4M RAUM and 3 advisory reps. IAPD ↗
$108.4M RAUM · 3 reps · 630-581-8998
95
SMP FINANCIAL PLANNING, LLC — (location n/a) is newly SEC-registered with $64.4M RAUM and 2 advisory reps. IAPD ↗
$64.4M RAUM · 2 reps · (202) 450-0784 · smpfinancialplanning.com
95
BICE WEALTH MANAGEMENT LLC — (MIAMI, FL) is newly SEC-registered with $147.7M RAUM and 2 advisory reps. IAPD ↗
$147.7M RAUM · 2 reps · 786-266-4597
95
ARSENAL CAPITAL ADVISORS LLC — (CONSHOHOCKEN, PA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 610-564-9134 · arsenalcapitaladvisors.com
95
SWIFTWATER CAPITAL — (location n/a) is newly SEC-registered with $169.7M RAUM and 1 advisory reps. IAPD ↗
$169.7M RAUM · 1 reps · 971-453-0130 · swiftwater.capital
95
PRIVATE CLIENT ADVISOR GROUP, LLC — (PALM CITY, FL) is newly SEC-registered with $110.2M RAUM and 5 advisory reps. IAPD ↗
$110.2M RAUM · 5 reps · 516-241-3934 · privateclientadvisor.net
95
APRICITY FINANCIAL, LLC — (location n/a) is newly SEC-registered with $108.8M RAUM and 4 advisory reps. IAPD ↗
$108.8M RAUM · 4 reps · 855-449-7100 · apricity-advisors.com
95
KINGWOOD INVESTMENT GROUP — (KINGWOOD, TX) is newly SEC-registered with $120.1M RAUM and 4 advisory reps. IAPD ↗
$120.1M RAUM · 4 reps · 281-359-7900 · thekig.com
95
BLUE BEAR FINANCIAL, LLC — (location n/a) is newly SEC-registered with $141.9M RAUM and 1 advisory reps. IAPD ↗
$141.9M RAUM · 1 reps · (843) 654-1388
95
XENA FINANCIAL PLANNING, LLC — (PORTLAND, OR) is newly SEC-registered with $100.2M RAUM and 2 advisory reps. IAPD ↗
$100.2M RAUM · 2 reps · (503) 714-7357 · xenafp.com
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 ↗
$0 RAUM · 2 reps · 646-717-4509 · igwadvisory.com
95
WILLOW CREEK CAPITAL MANAGEMENT, INC. — (MISSOULA, MT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 406-830-3286 · raymondjames.com
95
ERA FINANCIAL ADVISORS — (COVINA, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 530-208-9249
95
INGOT FINANCE — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 702 326 5885
95
ASCENT ADVISORS — (MANKATO, MN) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 952-444-3100
95
RISE NORTH CAPITAL INVESTMENT ADVISORS — (BRAINTREE, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 13 advisory reps. IAPD ↗
$0 RAUM · 13 reps · (781) 519-6969
95
OMEN ADVISORY, LLC — (location n/a) is newly SEC-registered with $36,000 RAUM and 1 advisory reps. IAPD ↗
$36,000 RAUM · 1 reps · 330-583-4914
95
SAVILE CAPITAL MANAGEMENT LLC — (SHERIDAN, WY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 307-655-1008
95
ACTIV8 FAMILY OFFICE LLC — (MCLEAN, VA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 978-870-0255 · activ8familyoffice.com
95
FERGHANA INVESTMENT PARTNERS, LP — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (212) 763-4823 · ferghanaip.com
95
ASK DOLLY — (DENVER, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 720-432-6841 · askdolly.com
95
AHAKISTA CAPITAL LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 212-698-0706
95
8FIGURES — (DOVER, DE) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 4158897717
95
CLERA — (COSTA MESA, CA) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · +1 (661) 889-7456 · askclera.com
95
501 NORTH, LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 7 advisory reps. IAPD ↗
$0 RAUM · 7 reps · (212) 887-7777
95
SENTINEL ADVISORY GROUP, LLC — (MIDDLETON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 8 advisory reps. IAPD ↗
$0 RAUM · 8 reps · 608-579-9350
95
COLAB CAPITAL — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 415-317-5100 · colab-capital.com
95
PARADIGM GLOBAL INVESTORS — (DALLAS, TX) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 774-836-6011 · paradigmglobalinvestors.com
95
HIGHBROOK CAPITAL PARTNERS — (ATLANTA, GA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 205-383-7962
95
R2 WEALTH MANAGEMENT PARTNERS — (LINCOLN, NE) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 402-489-9375
95
EMBERVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 301-523-8456 · embervest.com
95
ENDOWE ADVISORY LLC — (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 650-469-3120 · endowe.com
95
BAYTRUST WEALTH MANAGEMENT, LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 813-820-0069 · baytrust.com
95
NAMSOFT ADVISORS, LLC — (location n/a) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-736-6508 · runplutus.com
95
PULLIAM FAMILY OFFICE, LLC — (CRESTED BUTTE, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 972-947-9400 · pulliamfamilyoffice.com
95
FFO INVESTMENTS LLC — (TAMPA, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (302) 584-3415 · thefractionalfamilyoffice.com
95
WASHINGTON PARK CAPITAL MANAGEMENT, LLC — (PORTLAND, OR) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 503-222-9917 · waparkadvisors.com
95
IMPERITY WEALTH ALLIANCE LLC — (MELVILLE, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 14 advisory reps. IAPD ↗
$0 RAUM · 14 reps · 800-203-2702 · acsadvisory.com
95
VALOREM LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 917-837-8846 · valoremwealth.com
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 ↗
$0 RAUM · 1 reps · 949-218-9419 · millerfinancialservicesinc.com
95
MODELL CAPITAL MANAGEMENT LLC — (ROCHESTER, MI) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · (248) 723-8000
95
PARKSIDE FAMILY OFFICE LLC — (EDMONDS, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 425-238-4356
95
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 415-234-0470 · cattoncapital.com
95
NORTHILL AIMS, LLC — (DALLAS, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · (972) 480-6202
95
MFT WEALTH MANAGEMENT — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-800-7922 · mftwealth.net
95
LANCASTER — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 917-859-2815 · lancaster.am
95
STEPHEN SMITH FINANCIAL INC. — (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗
$0 RAUM · 3 reps · 847-337-1022
95
HV CAPITAL MANAGEMENT — (MONTGOMERY, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · 845-655-4826 · hvcapitalmanagement.com
95
SPENDVEST — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 775-636-2906
95
VERTRIX WEALTH MANAGEMENT, LLC — (TROY, MI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (248) 602 0555 · vertrixwm.com
95
TECTONIC CAPITAL ADVISORS, LLC — (HOUSTON, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗
$0 RAUM · 2 reps · (713) 250-4200
95
OASYS WEALTH, INC. — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗
$0 RAUM · 1 reps · 617-608-8702 · oasyswealth.com
75
L 1 GLOBAL WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$2.81B RAUM · 3 reps · 305-848-3411
75
TRINITY STRATEGIC WEALTH — 's provisional registration is now fully approved. IAPD ↗
$1.52B RAUM · 16 reps · 918-492-2150 · trinitystrategicwealth.com
73
CEDAR COVE WEALTH PARTNERS — 's provisional registration is now fully approved. IAPD ↗
$431.7M RAUM · 10 reps · 952-358-3456 · cedarcovewealth.com
73
PATHFINDER WEALTH CONSULTING — 's provisional registration is now fully approved. IAPD ↗
$847.4M RAUM · 9 reps · (910) 793-0616
73
ELEVATE WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$319.4M RAUM · 3 reps · 307 461-5550 · elevateasset.com
73
MACCO FINANCIAL GROUP, INC. — 's provisional registration is now fully approved. IAPD ↗
$261.9M RAUM · 4 reps · (920) 617-6830 · maccofinancial.com
73
KTF INVESTMENTS, LLC — 's provisional registration is now fully approved. IAPD ↗
$691.8M RAUM · 3 reps · 513-618-4498 · ktfinvestments.com
73
COLLABORATIVE CAPITAL ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$381.9M RAUM · 2 reps · 646-933-5730 · collaborativecapitaladvisors.com
73
CLEAR TRAIL ADVISORS, LLC — 's provisional registration is now fully approved. IAPD ↗
$797.1M RAUM · 4 reps · (713) 893-9870
73
MARATHON FINANCIAL GROUP — 's provisional registration is now fully approved. IAPD ↗
$289.1M RAUM · 4 reps · 857-201-3420 · meetmarathon.com
71
LNW — reported RAUM up 60% ($7.66B -> $12.23B). IAPD ↗
$12.23B RAUM · 93 reps · 206-464-5100
71
O'SHAUGHNESSY ASSET MANAGEMENT, LLC — reported RAUM up 57% ($12.60B -> $19.78B). IAPD ↗
$19.78B RAUM · 53 reps · 203-975-3333 · canvas.osam.com
70
FIRST WASHINGTON CORPORATION — crossed $500M in regulatory AUM ($427.5M -> $501.2M). IAPD ↗
$501.2M RAUM · 3 reps · 206-624-8320 · first-wash.com
70
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC — crossed $500M in regulatory AUM ($456.4M -> $668.6M). IAPD ↗
$668.6M RAUM · 32 reps · 763-923-2270 · oakridgefinancial.com
70
HINDS FINANCIAL GROUP INC — crossed $500M in regulatory AUM ($496.1M -> $536.9M). IAPD ↗
$536.9M RAUM · 5 reps · 303-985-9889 · cccandc.com
70
AZIMUT INVESTMENT ADVISORS LLC — crossed $500M in regulatory AUM ($447.0M -> $639.1M). IAPD ↗
$639.1M RAUM · 8 reps · 786 866 3700
70
FINANCIAL GRAVITY ASSET MANAGEMENT, INC. — crossed $500M in regulatory AUM ($469.1M -> $523.4M). IAPD ↗
$523.4M RAUM · 1 reps · 1-800-920-9722 · financialgravityassetmanagement.com
70
MONEX ASSET MANAGEMENT, INC. — crossed $500M in regulatory AUM ($386.3M -> $556.8M). IAPD ↗
$556.8M RAUM · 14 reps · 713-877-8234 · monexsec.com
70
ATLAS ASSET MANAGEMENT LLC — crossed $500M in regulatory AUM ($334.0M -> $700.6M). IAPD ↗
$700.6M RAUM · 2 reps · 787 781-1301 · atlasam.com
70
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC — crossed $500M in regulatory AUM ($467.2M -> $590.5M). IAPD ↗
$590.5M RAUM · 16 reps · 800-588-3893
70
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC — crossed $500M in regulatory AUM ($447.4M -> $972.5M). IAPD ↗
$972.5M RAUM · 3 reps · (888) 865-7268 · franklintempleton.com
70
FUNDIFY ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$65,051 RAUM · 3 reps · 512-645-1010 · fundify.com
70
MAVROS CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗
$32.1M RAUM · 3 reps · (424) 522-2524 · mavrosgroup.com
70
SERENITY CAPITAL ADVISORS INC. — 's provisional registration is now fully approved. IAPD ↗
$63.2M RAUM · 1 reps · 1-877-975-3383 · serenitycapadvisors.com
70
AFT US CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗
$216 RAUM · 0 reps · 213-454-0601 · aspireapp.com
70
CRECER — 's provisional registration is now fully approved. IAPD ↗
$1,892 RAUM · 2 reps · 888-855-0874 · crecer.app
70
GRANITE ISLANDS PRIVATE WEALTH, LLC — 's provisional registration is now fully approved. IAPD ↗
$228.1M RAUM · 4 reps · 203-889-3899 · graniteislands.com
70
CROSSGEN WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$212.2M RAUM · 3 reps · 252-262-7301 · crossgenwealth.com
70
FIVANCIAL ADVISORS, INC. — 's provisional registration is now fully approved. IAPD ↗
$512 RAUM · 1 reps · 855-568-3275 · banksocial.io
70
INTER ADVISORS LLC — 's provisional registration is now fully approved. IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
70
KUBENCE — 's provisional registration is now fully approved. IAPD ↗
$650,000 RAUM · 4 reps · 650-308-8398 · kubence.com
70
ENCORE WEALTH ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$108.0M RAUM · 3 reps · 320-288-4084
70
ARDEN GLOBAL FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
$103.6M RAUM · 1 reps · 650-680-8160
70
COUNTRYSIDE FINANCIAL LLC — 's provisional registration is now fully approved. IAPD ↗
$62.7M RAUM · 3 reps · 716-256-1330
70
ROTHWELL INVESTMENT ADVISORS — 's provisional registration is now fully approved. IAPD ↗
$188.7M RAUM · 2 reps · 978-387-9997 · maitlandfinancialgroup.com
70
AVRIO WEALTH LLC — 's provisional registration is now fully approved. IAPD ↗
$26.1M RAUM · 3 reps · (646) 825-3957 · avriowealth.com
70
BLACK WALNUT WEALTH MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗
$129.0M RAUM · 1 reps · 231-421-7711 · blackwalnutwm.com
70
LEGACY ROAD FAMILY OFFICES — 's provisional registration is now fully approved. IAPD ↗
$121.4M RAUM · 1 reps · 917-626-1042
70
MARATHON WEALTH PARTNERS, INC — 's provisional registration is now fully approved. IAPD ↗
$137.4M RAUM · 1 reps · 512-587-6259 · marathonwealthpartners.com
69
INDEX TECHNOLOGIES GROUP LLC — reported RAUM up 75% ($105.0M -> $183.4M). IAPD ↗
$183.4M RAUM · 4 reps · 212-466-6760
68
LONESTAR REGISTERED INVESTMENT ADVISORS, PLLC — reported RAUM up 53% ($164.2M -> $250.7M). IAPD ↗
$250.7M RAUM · 9 reps · 866-785-5350 · retirewithlonestar.com
67
PUTNAM INVESTMENT MANAGEMENT, LLC — reported RAUM up 38% ($85.21B -> $117.24B). IAPD ↗
$117.24B RAUM · 72 reps · 617-292-1000
66
QUARTZ PARTNERS INVESTMENT MANAGEMENT — reported RAUM up 42% ($281.0M -> $397.8M). IAPD ↗
$397.8M RAUM · 22 reps · 800-433-0422 · eticofinancial.com
66
ETHOS FINANCIAL GROUP, LLC — reported RAUM up 31% ($1.58B -> $2.06B). IAPD ↗
$2.06B RAUM · 29 reps · 610-822-5246 · ethosfg.com
65
CALTON & ASSOCIATES, INC. — reported RAUM up 30% ($1.22B -> $1.58B). IAPD ↗
$1.58B RAUM · 221 reps · 813-264-0440 · calton.com
64
OCTOGONE NA — reported RAUM up 34% ($371.4M -> $497.8M). IAPD ↗
$497.8M RAUM · 3 reps · 305-677-9559 · octogone.ch
63
SFE INVESTMENT COUNSEL INC. — reported RAUM up 29% ($581.6M -> $748.4M). IAPD ↗
$748.4M RAUM · 9 reps · 213-612-0220 · sfeic.com
63
CREATIVE INVESTMENT GROUP — reported RAUM up 41% ($145.8M -> $205.9M). IAPD ↗
$205.9M RAUM · 7 reps · 615 949 9629 · creativeinvests.com
63
CAMBIENT FAMILY OFFICE, LLC — began participating in a wrap-fee program. IAPD ↗
$668.8M RAUM · 3 reps · (616) 330-2270 · cambient.com
60
FAMILY WEALTH PLANNING PARTNERS — began participating in a wrap-fee program. IAPD ↗
$202.3M RAUM · 4 reps · 502-200-5210 · fwppartners.com
88
PARK LANE ADVISORS, LLC — (BIRMINGHAM, AL) is newly SEC-registered with $553.5M RAUM and 4 advisory reps. IAPD ↗institutional
$553.5M RAUM · 4 reps · 205-383-8782 · tenet-partners.com
85
INFINITE GIVING ADVISORY SERVICES, INC. — (ATLANTA, GA) is newly SEC-registered with $100.1M RAUM and 2 advisory reps. IAPD ↗institutional
$100.1M RAUM · 2 reps · (888) 926-4483
85
INTER US MANAGEMENT, LLC — (MIAMI, FL) is newly SEC-registered with $77.8M RAUM and 5 advisory reps. IAPD ↗institutional
$77.8M RAUM · 5 reps · 786-671-3506
85
FELIS ADVANTAGE, LP — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · (617) 702-7450
85
ARGO INFRASTRUCTURE MANAGEMENT, LP — (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 13 advisory reps. IAPD ↗institutional
$0 RAUM · 13 reps · 212-521 5096
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
$0 RAUM · 5 reps · (561) 349-9989
85
EMERGING CAPITAL PARTNERS — (WASHINGTON, DC) is newly SEC-registered with $1.06B RAUM and 5 advisory reps. IAPD ↗fund
$1.06B RAUM · 5 reps · 2022806200 · ecpinvestments.com
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
$0 RAUM · 7 reps · (816) 427-8758 · ninthavenuecapital.com
85
COMVEST PE ADVISORS, LLC — (WEST PALM BEACH, FL) is newly SEC-registered with $2.16B RAUM and 23 advisory reps. IAPD ↗fund
$2.16B RAUM · 23 reps · 561-727-2000
85
OTTER ROCK ADVISORS LP — (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
85
AUREON MANAGEMENT LLC — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 917-767-3845
85
MRE MANAGEMENT, LLC — (ANNAPOLIS, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps. IAPD ↗institutional
$0 RAUM · 5 reps · 443-808-1491 · mre-capital.com
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
$20.75B RAUM · 53 reps · 1-646-681-4905
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
$105.3M RAUM · 1 reps · 717-329-7970
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
$0 RAUM · 0 reps · 973-224-0169
85
ELMTREE FUNDS, LLC — (ST. LOUIS, MO) is newly SEC-registered with $7.51B RAUM and 18 advisory reps. IAPD ↗fund
$7.51B RAUM · 18 reps · (314) 828-4200 · elmtreefunds.com
85
VAULT FIDUCIARY LLC — (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 845-304-4858
85
PRELUDE INVESTMENT SERVICES — (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 707-394-8355 · prelude.ai
85
TAMARISK CAPITAL MANAGEMENT — (HOLLAND, MI) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗institutional
$0 RAUM · 1 reps · 616-820-1040
85
DHM PARTNERS LLC — (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps. IAPD ↗institutional
$0 RAUM · 3 reps · 508-776-0094
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
$0 RAUM · 1 reps · 646-370-0416
85
AVICENE — (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps. IAPD ↗institutional
$0 RAUM · 2 reps · 646-734-2620
85
SHOTEN CAPITAL LP — (AUSTIN, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps. IAPD ↗institutional
$0 RAUM · 4 reps · 512-265-3800 · shotencapital.com
83
FUTURE POSITIVE — (NEW YORK, NY) is newly SEC-registered with $255.7M RAUM and 3 advisory reps. IAPD ↗fund
$255.7M RAUM · 3 reps · 646-867-9160 · futurepositive.com
83
MOZAYYX MANAGEMENT LLC — (AUSTIN, TX) is newly SEC-registered with $530.6M RAUM and 2 advisory reps. IAPD ↗fund
$530.6M RAUM · 2 reps · 512-522-9690 · mozayyx.com
80
ARDINALL INVESTMENT MANAGEMENT LP — (NEW YORK, NY) is newly SEC-registered with $36.2M RAUM and 2 advisory reps. IAPD ↗fund
$36.2M RAUM · 2 reps · (212) 203-1210 · ardinall.com
80
DELLORA INVESTMENTS LP — (GREENWICH, CT) is newly SEC-registered with $95.3M RAUM and 3 advisory reps. IAPD ↗fund
$95.3M RAUM · 3 reps · 203-632-6341 · dellora.com
80
THE COPIA GROUP — (CHICAGO, IL) is newly SEC-registered with $118.9M RAUM and 6 advisory reps. IAPD ↗fund
$118.9M RAUM · 6 reps · 312-564-8521 · copiagroupllc.com
80
BULLET VENTURES MANAGEMENT LTD — (location n/a) is newly SEC-registered with $13.6M RAUM and 2 advisory reps. IAPD ↗fund
$13.6M RAUM · 2 reps · 972547693060
75
RCM GA MANAGER LLC — crossed $1B in regulatory AUM ($977.3M -> $1.27B). IAPD ↗institutional
$1.27B RAUM · 10 reps · 212-850-7770 · rithmcap.com
70
LEXINGTON ADVISORS LLC — crossed $1B in regulatory AUM ($243.3M -> $2.66B). IAPD ↗fund
$2.66B RAUM · 165 reps · 212-754-0411
70
PINEGROVE ADVISER LLC — crossed $1B in regulatory AUM ($816.0M -> $2.05B). IAPD ↗fund
$2.05B RAUM · 12 reps · 626-676-0710 · pinegrove.vc
70
ADVANTAGE CAPITAL — crossed $1B in regulatory AUM ($789.9M -> $1.29B). IAPD ↗fund
$1.29B RAUM · 95 reps · 504-522-4850
70
ZANBATO ADVISORS LLC — crossed $1B in regulatory AUM ($506.9M -> $2.08B). IAPD ↗fund
$2.08B RAUM · 3 reps · 866-926-2286 · zanbato.com
70
LORD ABBETT PRIVATE CREDIT ADVISOR LLC — crossed $1B in regulatory AUM ($844.7M -> $1.28B). IAPD ↗fund
$1.28B RAUM · 191 reps · 201-827-2000 · lordabbett.com
70
LIFE CYCLE INVESTMENT PARTNERS LIMITED — (LONDON, United Kingdom) is newly SEC-registered with $17.30B RAUM and 8 advisory reps. IAPD ↗foreign
$17.30B RAUM · 8 reps · 44-20-4591-8446 · lcip.com
68
PASCAL INVESTMENT ADVISERS SA — (GENEVA, Switzerland) is newly SEC-registered with $874.3M RAUM and 4 advisory reps. IAPD ↗foreign
$874.3M RAUM · 4 reps · 41227187400 · pascaladvisers.com
65
VULPES INVESTMENT MANAGEMENT PRIVATE LIMITED — (SINGAPORE, Singapore) is newly SEC-registered with $157.5M RAUM and 3 advisory reps. IAPD ↗foreign
$157.5M RAUM · 3 reps · +65 6538 1998 · vulpesinvest.com
65
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC — (ACCRA, Ghana) is newly SEC-registered with $0 RAUM and 2 advisory reps. IAPD ↗foreign
$0 RAUM · 2 reps · 1 (857) 756-0377
65
ACTIVEALPHA INVESTMENT ADVISORS — (MUMBAI, MAHARASHTRA, India) is newly SEC-registered with $0 RAUM and 6 advisory reps. IAPD ↗foreign
$0 RAUM · 6 reps · +91 999 666 9999 · activealphagroup.com
65
ROVIA ADVISORS LLC — (BANGALORE, KAMATAKA, India) is newly SEC-registered with $0 RAUM and 1 advisory reps. IAPD ↗foreign
$0 RAUM · 1 reps · 917710041211
65
BULLGROUND — (CIUDAD DE MÉXICO, Mexico) is newly SEC-registered with $0 RAUM and 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · +52 55 3120 7257 · bullground.mx
63
CANDER ASSET MANAGEMENT — 's provisional registration is now fully approved. IAPD ↗institutional
$775.7M RAUM · 3 reps · 917-541-5410
60
FRANKLIN ADVISORY SERVICES, LLC — reported RAUM up 53% ($9.18B -> $14.07B). IAPD ↗institutional
$14.07B RAUM · 2 reps · (650) 312-3000
60
RECKONER CAPITAL MANAGEMENT LLC — reported RAUM up 393% ($28.7M -> $141.1M). IAPD ↗institutional
$141.1M RAUM · 8 reps · 212-597-2500 · reckoner.com
60
AUTILUS PARTNERS LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$101.0M RAUM · 2 reps · 1-310-759-8160
60
NVERSES CAPITAL, LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$99.5M RAUM · 2 reps · 732-742-7703 · nversescapital.com
60
MANISPACE CAPITAL — 's provisional registration is now fully approved. IAPD ↗institutional
$26.1M RAUM · 1 reps · 609-712-6527
60
DIAMETER DCF ADVISOR LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 57 reps · 212-655-1400 · diametercap.com
60
TCG STRATEGIC INCOME ADVISOR LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 4 reps · 561-530-3313 · tcgsx.com
60
LOGIQ CAPITAL LLC — 's provisional registration is now fully approved. IAPD ↗institutional
$0 RAUM · 1 reps · 848-230-4523
58
MOTLEY FOOL ASSET MANAGEMENT — reported RAUM up 41% ($1.84B -> $2.60B). IAPD ↗institutional
$2.60B RAUM · 12 reps · 703-302-1100
58
M83 INVESTMENT GROUP, LLC — reported RAUM up 68% ($113.8M -> $191.0M). IAPD ↗institutional
$191.0M RAUM · 4 reps · 818-222-4727 · 83igfunds.com
58
SADDLE POINT MANAGEMENT, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$857.6M RAUM · 3 reps · 212-951-1223
58
PRITZKER ALTERNATIVE STRATEGIES — 's provisional registration is now fully approved. IAPD ↗fund
$333.6M RAUM · 6 reps · 312-447-6087 · pritzker-pas.com
58
AWANI CAPITAL MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$259.0M RAUM · 4 reps · (301) 798-5797
58
LOTUS — 's provisional registration is now fully approved. IAPD ↗fund
$262.0M RAUM · 5 reps · 628-212-8533 · lotusmgmt.co
58
APHIAS CAPITAL, L.P. — 's provisional registration is now fully approved. IAPD ↗fund
$350.0M RAUM · 11 reps · 415-320-1644 · aphias.com
55
1832 ASSET MANAGEMENT U.S. INC. — crossed $1B in regulatory AUM ($922.3M -> $1.43B). IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
55
THACKERAY PARTNERS — crossed $500M in regulatory AUM ($309.4M -> $555.3M). IAPD ↗fund
$555.3M RAUM · 11 reps · 214-360-7830 · thackeraypartners.com
55
LEON CAPITAL MANAGEMENT, LLC — 's provisional registration is now fully approved. IAPD ↗fund
$184.6M RAUM · 14 reps · 214-865-8082 · leoncapitalmanagement.com
55
ENCORE GLOBAL MANAGEMENT LP — 's provisional registration is now fully approved. IAPD ↗fund
$112.5M RAUM · 2 reps · (713) 933-3838 · encoregm.com
55
MALT PARTNERS MANAGEMENT LLC — 's provisional registration is now fully approved. IAPD ↗fund
$36.5M RAUM · 2 reps · 646-450-5521
54
BLUEARC CAPITAL MANAGEMENT — reported RAUM up 45% ($1.68B -> $2.44B). IAPD ↗fund
$2.44B RAUM · 7 reps · 404-419-6130 · bluearccapital.com
51
REEF INVESTMENT MANAGEMENT LLC — reported RAUM up 55% ($151.0M -> $234.3M). IAPD ↗fund
$234.3M RAUM · 1 reps · 801-216-8850 · reefcp.com
46
SAAS CAPITAL, LLC — reported RAUM up 35% ($183.4M -> $247.3M). IAPD ↗fund
$247.3M RAUM · 6 reps · 303-870-9529 · saas-capital.com
41
NORTH OF SOUTH CAPITAL LLP — reported RAUM up 58% ($3.88B -> $6.12B). IAPD ↗foreign
$6.12B RAUM · 8 reps · + 44 207 152 6061 · northofsouth.com
40
JEFFERIES CREDIT PARTNERS EUROPE LIMITED — 's provisional registration is now fully approved. IAPD ↗foreign
$199.6M RAUM · 8 reps · +44 20 7029 8223
40
PRIMARY — 's provisional registration is now fully approved. IAPD ↗foreign
$0 RAUM · 3 reps · +61423411856 · primary.tech
36
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED — reported RAUM up 31% ($30.90B -> $40.52B). IAPD ↗foreign
$40.52B RAUM · 71 reps · 00442070738500 · franklintempleton.ro
36
TEMPLETON GLOBAL ADVISORS LIMITED — reported RAUM up 33% ($19.42B -> $25.85B). IAPD ↗foreign
$25.85B RAUM · 4 reps · 800-239-3894
35
RAYMOND JAMES (USA) LTD — reported RAUM up 29% ($1.54B -> $1.99B). IAPD ↗foreign
$1.99B RAUM · 145 reps · 877-570-7558 · rjlu.com
35
1832 ASSET MANAGEMENT U.S. INC. — began participating in a wrap-fee program. IAPD ↗foreign
$1.43B RAUM · 113 reps · 416-840-7986
35
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED — began participating in a wrap-fee program. IAPD ↗foreign
$9.89B RAUM · 16 reps · 44 131 229 5252
31
DUBEAU CAPITAL USA INC. — reported RAUM up 33% ($36.0M -> $47.9M). IAPD ↗foreign
$47.9M RAUM · 4 reps · 418-628-5533

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.