← Tributary

Recruiting & transitions — March 2024

Recruiters, transition consultants, and firms hiring advisors.

315 firms opened this window in the March 2024 SEC roster: 122 new office, 83 headcount up, 51 deregistered, 39 headcount down, 20 aum down.

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

85
SEIA — grew from 62 to 99 advisory reps. IAPD ↗
$14.21B RAUM · 99 reps · 310-712-2323
85
MISSION WEALTH MANAGEMENT, LP — grew from 56 to 72 advisory reps. IAPD ↗
$7.07B RAUM · 72 reps · 805-882-2360
85
PROSPERITY - AN EISNERAMPER COMPANY — grew from 8 to 31 advisory reps. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
85
BROKERS FINANCIAL — grew from 158 to 173 advisory reps. IAPD ↗
$2.00B RAUM · 173 reps · 877-886-1939
85
ELLEVEST — grew from 14 to 31 advisory reps. IAPD ↗
$1.90B RAUM · 31 reps · 844-355-7100
85
NEW EDGE WEALTH — grew from 42 to 62 advisory reps. IAPD ↗
$8.61B RAUM · 62 reps · 2034242262 · newedgewealth.com
83
&PARTNERS — grew from 35 to 71 advisory reps. IAPD ↗
$663.8M RAUM · 71 reps · 615-255-6431 · ensemblewealthplanning.com
83
WATERLOO CAPITAL — grew from 16 to 29 advisory reps. IAPD ↗
$1.30B RAUM · 29 reps · 512-777-5900
81
JEFFERIES INVESTMENT ADVISERS LLC — grew from 98 to 109 advisory reps. IAPD ↗
$3.10B RAUM · 109 reps · 212-284-2300 · jefferieswealthmanagement.com
80
INTEGRITY ADVISORY SOLUTIONS — grew from 15 to 39 advisory reps. IAPD ↗
$147.5M RAUM · 39 reps · (336) 660-2782 · integritywealthsolutions.com
78
ABOUND WEALTH MANAGEMENT, LLC — grew from 16 to 24 advisory reps. IAPD ↗
$1.07B RAUM · 24 reps · 615-226-3667
77
DAYMARK WEALTH PARTNERS, LLC — grew from 9 to 16 advisory reps. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
76
ENCOMPASS MORE ASSET MANAGEMENT LLC — grew from 32 to 43 advisory reps. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
74
GHP INVESTMENT ADVISORS INC — grew from 16 to 20 advisory reps. IAPD ↗
$2.44B RAUM · 20 reps · 303-831-5051 · ghpia.com
74
B.O.S.S. RETIREMENT ADVISORS, LLC — grew from 30 to 36 advisory reps. IAPD ↗
$764.0M RAUM · 36 reps · 801-990-5055
74
PALLAS CAPITAL ADVISORS, LLC — grew from 20 to 24 advisory reps. IAPD ↗
$2.97B RAUM · 24 reps · (781) 971-5052 · pallascapitaladvisors.com
73
STADION MONEY MANAGEMENT, LLC — grew from 11 to 14 advisory reps. IAPD ↗
$2.33B RAUM · 14 reps · 706-583-5144 · stadionmoney.com
73
BLUE CHIP PARTNERS, LLC — grew from 12 to 15 advisory reps. IAPD ↗
$1.28B RAUM · 15 reps · 248-848-1111 · bluechippartners.com
73
COMPASS ION ADVISORS, LLC — grew from 10 to 13 advisory reps. IAPD ↗
$1.09B RAUM · 13 reps · (610) 228-2200
73
GRANGER MANAGEMENT LLC — grew from 8 to 11 advisory reps. IAPD ↗
$4.91B RAUM · 11 reps · (212) 658-0400 · grangerllc.com
73
LIBERTY WEALTH MANAGEMENT, LLC — grew from 15 to 18 advisory reps. IAPD ↗
$1.22B RAUM · 18 reps · 510-658-1880
73
JGP WEALTH MANAGEMENT, LLC — grew from 9 to 12 advisory reps. IAPD ↗
$1.08B RAUM · 12 reps · 503-446-6450
73
CHICAGO CAPITAL, LLC — grew from 7 to 10 advisory reps. IAPD ↗
$3.53B RAUM · 10 reps · 312-429-2333
73
SAGE MOUNTAIN ADVISORS, LLC — grew from 9 to 12 advisory reps. IAPD ↗
$2.19B RAUM · 12 reps · (404) 795-8361
73
SYNTEGRA PRIVATE WEALTH GROUP LLC — grew from 9 to 12 advisory reps. IAPD ↗
$1.02B RAUM · 12 reps · 314-802-7232
72
GUYASUTA INVESTMENT ADVISORS, INCORPORATED — grew from 10 to 12 advisory reps. IAPD ↗
$2.09B RAUM · 12 reps · 412-447-4560 · guyasuta.com
72
DENALI ADVISORS, LLC — grew from 7 to 11 advisory reps. IAPD ↗
$493.4M RAUM · 11 reps · 858-558-3600 · denaliadvisors.com
72
MIDWEST PROFESSIONAL PLANNERS, LTD. — grew from 13 to 17 advisory reps. IAPD ↗
$431.8M RAUM · 17 reps · 715-848-3474
72
PERFORMANCE WEALTH — grew from 7 to 9 advisory reps. IAPD ↗
$2.55B RAUM · 9 reps · (630) 686-5655
71
HAVEN WEALTH GROUP — grew from 5 to 8 advisory reps. IAPD ↗
$285.6M RAUM · 8 reps · 713-980-8820
71
PARADIGM WEALTH MANAGEMENT, LLC — grew from 3 to 6 advisory reps. IAPD ↗
$347.9M RAUM · 6 reps · 440-892-5900 · investpwm.com
71
AUSTIN WEALTH MANAGEMENT, LLC — grew from 6 to 9 advisory reps. IAPD ↗
$568.4M RAUM · 9 reps · 512-467-2000
71
BENTOAK CAPITAL — grew from 8 to 11 advisory reps. IAPD ↗
$392.1M RAUM · 11 reps · 817-550-6750
71
SFG WEALTH MANAGEMENT — grew from 12 to 15 advisory reps. IAPD ↗
$556.3M RAUM · 15 reps · 410-825-3200
71
MCCAY WEALTH ADVISORY LLC — grew from 2 to 5 advisory reps. IAPD ↗
$284.4M RAUM · 5 reps · 931-728-2130
71
HIGH PROBABILITY ADVISORS, LLC — grew from 8 to 11 advisory reps. IAPD ↗
$679.9M RAUM · 11 reps · 585-485-0135
71
DOVER ADVISORS, LLC — grew from 3 to 6 advisory reps. IAPD ↗
$261.4M RAUM · 6 reps · 804-750-3665 · doveradvisors.com
71
AMERITY WEALTH MANAGEMENT, LLC — grew from 8 to 14 advisory reps. IAPD ↗
$141.0M RAUM · 14 reps · (863) 683-1750 · ameritywm.com
70
PEREGRINE ASSET ADVISERS, INC. — grew from 2 to 4 advisory reps. IAPD ↗
$519.7M RAUM · 4 reps · 503-459-4651 · peregrineaa.com
70
WATERFORD ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$300.3M RAUM · 6 reps · 716-580-3906 · waterfordadv.com
70
MENDOTA FINANCIAL GROUP, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$431.1M RAUM · 6 reps · (608) 223-9211
70
SACHETTA, LLC — grew from 9 to 11 advisory reps. IAPD ↗
$720.2M RAUM · 11 reps · 781-233-4138
70
ASPEN WEALTH MANAGEMENT — grew from 4 to 6 advisory reps. IAPD ↗
$368.4M RAUM · 6 reps · 817-546-6353 · aspenwealthmgmt.com
70
TRUVESTMENTS CAPITAL LLC — grew from 10 to 12 advisory reps. IAPD ↗
$362.7M RAUM · 12 reps · 941-753-3814
70
CANOPY 360 WEALTH, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$260.6M RAUM · 5 reps · (352) 369-1120
70
REGENT PEAK WEALTH ADVISORS, LLC — grew from 5 to 7 advisory reps. IAPD ↗
$611.5M RAUM · 7 reps · 470-867-3550
70
COGENTBLUE — grew from 2 to 4 advisory reps. IAPD ↗
$625.8M RAUM · 4 reps · 865-309-5892 · cogentbluewealth.com
70
BEVERLY HILLS PRIVATE WEALTH, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$696.0M RAUM · 5 reps · 310-388-3800
70
EQ WEALTH ADVISORS — grew from 3 to 5 advisory reps. IAPD ↗
$470.4M RAUM · 5 reps · 214-389-6750 · eqwealthadv.com
69
CLARUS WEALTH ADVISORS, LLC — grew from 12 to 16 advisory reps. IAPD ↗
$222.9M RAUM · 16 reps · 623-583-6840 · heritagecapitalaz.com
68
ADASINA SOCIAL CAPITAL — grew from 6 to 9 advisory reps. IAPD ↗
$232.9M RAUM · 9 reps · 415-986-5500
68
KAUFMAN ROSSIN WEALTH, LLC — grew from 3 to 6 advisory reps. IAPD ↗
$224.8M RAUM · 6 reps · 305-646-6071 · kaufmanrossinwealth.com
68
MARIDEA WEALTH MANAGEMENT — grew from 1 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
67
FINANCIAL NAVIGATORS INC. — grew from 4 to 6 advisory reps. IAPD ↗
$182.2M RAUM · 6 reps · 978-952-6800
67
ELAN WEALTH MANAGEMENT, L.L.C. — grew from 1 to 3 advisory reps. IAPD ↗
$135.0M RAUM · 3 reps · (252) 255-1700 · elanwealthmanagement.com
67
LIFETIME WEALTH MANAGEMENT, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$158.1M RAUM · 3 reps · 507-288-5587
67
BEACON WEALTH CONSULTANTS, INC. — grew from 10 to 12 advisory reps. IAPD ↗
$203.8M RAUM · 12 reps · 540-345-3891 · lightpointportfoliosolutions.com
67
WORTH ADVISORS — grew from 9 to 11 advisory reps. IAPD ↗
$179.3M RAUM · 11 reps · 704-731-0121 · worthadvisors.com
67
BFG WEALTH — grew from 1 to 3 advisory reps. IAPD ↗
$182.4M RAUM · 3 reps · 405-341-9245 · bfgwealth.net
67
FOUR POINTS ADVISORS, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$30.6M RAUM · 5 reps · 646-300-6129 · 4pointsadvisors.com
67
SUMMIT FINANCIAL — grew from 6 to 8 advisory reps. IAPD ↗
$196.5M RAUM · 8 reps · 410-584-9600 · sumfi.com
67
ROCKPORT WEALTH ADVISORS — grew from 7 to 9 advisory reps. IAPD ↗
$123.0M RAUM · 9 reps · (216) 226-4560
67
COLORADO WEALTH GROUP LLC — grew from 7 to 9 advisory reps. IAPD ↗
$175.8M RAUM · 9 reps · 720-729-2500 · coloradowealthgroup.com
67
GILPIN WEALTH MANAGEMENT LLC — grew from 2 to 4 advisory reps. IAPD ↗
$171.2M RAUM · 4 reps · 720-893-2800 · gilpinwealth.com
67
DAUS FINANCIAL GROUP, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$154.1M RAUM · 3 reps · (269) 321-7472 · dausfinancial.com
67
PUREFI WEALTH, LLC — grew from 2 to 4 advisory reps. IAPD ↗
$95.6M RAUM · 4 reps · (617) 488-9320 · purefiwealth.com
67
CAPITAL A WEALTH MANAGEMENT — grew from 6 to 8 advisory reps. IAPD ↗
$149.2M RAUM · 8 reps · 724-658-4211
65
CANNELL & CO. — (NEW YORK, NY) left the SEC roster (was $3.63B RAUM, 10 reps). IAPD ↗
$3.63B RAUM · 10 reps · 212-752-5255 · cannellco.com
65
FORTIGENT, LLC — (FORT MILL, SC) left the SEC roster (was $3.45B RAUM, 4 reps). IAPD ↗
$3.45B RAUM · 4 reps · 800-877-7210 · lpl.com
63
ROBERT GORDON & ASSOCIATES INC — (SPRINGFIELD, IL) left the SEC roster (was $265.9M RAUM, 4 reps). IAPD ↗
$265.9M RAUM · 4 reps · 217-698-4844 · rga-advisors.com
63
NORTHSTAR ASSET MANAGEMENT LLC — (BLUE BELL, PA) left the SEC roster (was $467.0M RAUM, 2 reps). IAPD ↗
$467.0M RAUM · 2 reps · 484-342-4200 · northstarmgt.com
63
PRIVATE INCOME CAPITAL MANAGEMENT — (location n/a) left the SEC roster (was $290.5M RAUM, 1 reps). IAPD ↗
$290.5M RAUM · 1 reps · 206-224-1654
63
TAYLOR, BERNARD — (location n/a) left the SEC roster (was $334.1M RAUM, 1 reps). IAPD ↗
$334.1M RAUM · 1 reps · 44 7377557255
63
NEIRG WEALTH MANAGEMENT, LLC — (NORTH ANDOVER, MA) left the SEC roster (was $899.3M RAUM, 7 reps). IAPD ↗
$899.3M RAUM · 7 reps · 978-975-2559
60
RUNNYMEDE CAPITAL MANAGEMENT INC — (location n/a) left the SEC roster (was $76.9M RAUM, 3 reps). IAPD ↗
$76.9M RAUM · 3 reps · 973-267-6886 · inspiredmoney.fm
60
STOWE FINANCIAL PLANNING, L.L.C. — (PLANO, TX) left the SEC roster (was $134.4M RAUM, 2 reps). IAPD ↗
$134.4M RAUM · 2 reps · 972-733-9959 · stowefinancialplanning.com
60
LINWOOD INVESTMENT ADVISORS INC. — (BUFFALO, NY) left the SEC roster (was $67.7M RAUM, 1 reps). IAPD ↗
$67.7M RAUM · 1 reps · 716-572-4790
60
WEALTH ADVISORS, INC. — (HENDERSON, NV) left the SEC roster (was $224.2M RAUM, 4 reps). IAPD ↗
$224.2M RAUM · 4 reps · 702-994-7039 · wealthadvisorsinc.com
60
POTOMAC ADVISORS, INC. — (location n/a) left the SEC roster (was $17.0M RAUM, 2 reps). IAPD ↗
$17.0M RAUM · 2 reps · 941-870-3426 · potomacadvisorsinc.com
60
SWAIMBROWN WEALTH MANAGEMENT LLC — (CLINTON, SC) left the SEC roster (was $137.7M RAUM, 2 reps). IAPD ↗
$137.7M RAUM · 2 reps · 864-547-8018 · swaimbrownwealth.com
60
TIGRESS FINANCIAL PARTNERS LLC — (NEW YORK, NY) left the SEC roster (was $5.5M RAUM, 4 reps). IAPD ↗
$5.5M RAUM · 4 reps · 212-430-8700 · tigressfinancialintelligence.com
60
FUTU WEALTH ADVISORS, INC. — (PALO ALTO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 650-798-5700 · futufa.com
60
VECTORWEALTH — (TAMPA, FL) left the SEC roster (was $5.0M RAUM, 1 reps). IAPD ↗
$5.0M RAUM · 1 reps · 833-625-7421 · vectorshares.com
60
SIGNALS MATTER ADVISORS, LLC — (location n/a) left the SEC roster (was $106,253 RAUM, 2 reps). IAPD ↗
$106,253 RAUM · 2 reps · 844-545-5050 · signalsmatteradvisors.com
60
SUNLIGHT PEAKS FINANCIAL PARTNERS, LLC — (location n/a) left the SEC roster (was $43.4M RAUM, 3 reps). IAPD ↗
$43.4M RAUM · 3 reps · 8662100158 X 1 · sunlightpeaks.com
60
LEGION INVEST — (MADISON, NJ) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (650) 332-4523
60
2903 CAPITAL LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 615-516-5655 · 2903capital.carrd.co
60
WILLOW FINANCIAL LLC — (ROGERS, AR) left the SEC roster — its 120-day provisional registration did not convert (was $32.0M RAUM, 3 reps). IAPD ↗
$32.0M RAUM · 3 reps · (479) 709-3949 · willowfinancialnwa.com
60
UNSADDL, INC. — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 609-350-2899 · unsaddl.com
60
503 CAPITAL PARTNERS, LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 913-276-7433
60
SPHINX INVESTMENTS LLC — (LEWES, DE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 833-247-7833
55
VOYA FINANCIAL ADVISORS, INC. — shrank from 605 to 529 advisory reps. IAPD ↗
$2.68B RAUM · 529 reps · 1-800-356-2906 · voyafinancialadvisors.com
55
AEGIS CAPITAL CORP. — shrank from 76 to 63 advisory reps. IAPD ↗
$1.28B RAUM · 63 reps · 212-813-1010 · aegiscapcorp.com
55
VOYA FINANCIAL ADVISORS, INC. — added office(s): 299 -> 303 additional locations. IAPD ↗
$2.68B RAUM · 529 reps · 1-800-356-2906 · voyafinancialadvisors.com
55
AEGIS CAPITAL CORP. — added office(s): 19 -> 20 additional locations. IAPD ↗
$1.28B RAUM · 63 reps · 212-813-1010 · aegiscapcorp.com
55
NORTHEAST INVESTMENT MANAGEMENT INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$2.51B RAUM · 9 reps · 617-523-3588 · northeastinvest.com
55
TREK FINANCIAL — added office(s): 30 -> 32 additional locations. IAPD ↗
$1.88B RAUM · 52 reps · (480) 483-1510 · strategic-benefits.com
55
MISSION WEALTH MANAGEMENT, LP — added office(s): 31 -> 32 additional locations. IAPD ↗
$7.07B RAUM · 72 reps · 805-882-2360
55
NADLER FINANCIAL GROUP, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.61B RAUM · 13 reps · 847-940-4040 · nadlerfinancial.com
55
FINANCIAL INTEGRITY ADVISORS, LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$13.71B RAUM · 3 reps · 215-557-7622 · firmadvisor.com
55
PROSPERITY - AN EISNERAMPER COMPANY — added office(s): 5 -> 7 additional locations. IAPD ↗
$1.07B RAUM · 31 reps · 410-363-7211
55
BROKERS FINANCIAL — added office(s): 120 -> 132 additional locations. IAPD ↗
$2.00B RAUM · 173 reps · 877-886-1939
55
DYNAMIC WEALTH ADVISORS — added office(s): 50 -> 54 additional locations. IAPD ↗
$4.83B RAUM · 76 reps · (877) 257-3840 · lifestonefo.com
55
MERIDIAN WEALTH MANAGEMENT, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$2.07B RAUM · 29 reps · 859-543-4516
55
OHANA ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$2.13B RAUM · 4 reps · 415-226-4710 · ohanaadvisors.com
55
THE PATRIOT FINANCIAL GROUP, LLC — added office(s): 23 -> 27 additional locations. IAPD ↗
$1.63B RAUM · 50 reps · 508-251-6100
55
STRATOS INVESTMENT MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.14B RAUM · 2 reps · 4402104900 · fundamentuminvesting.com
55
MERIDIAN WEALTH PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.12B RAUM · 9 reps · 610-272-4700
55
WINTHROP WEALTH — added office(s): 10 -> 14 additional locations. IAPD ↗
$2.21B RAUM · 22 reps · 617-530-1010
55
LIBERTY ONE INVESTMENT MANAGEMENT — added office(s): 16 -> 18 additional locations. IAPD ↗
$1.97B RAUM · 18 reps · 847-680-9255
55
WEDMONT PRIVATE CAPITAL — added office(s): 3 -> 4 additional locations. IAPD ↗
$1.58B RAUM · 6 reps · 6108858200
55
OCTAVIA WEALTH ADVISORS LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$1.44B RAUM · 28 reps · (513) 762-7701
55
NEW EDGE WEALTH — added office(s): 6 -> 11 additional locations. IAPD ↗
$8.61B RAUM · 62 reps · 2034242262 · newedgewealth.com
55
TCG ADVISORS, LLC A HUB INTERNATIONAL COMPANY — added office(s): 20 -> 25 additional locations. IAPD ↗
$5.77B RAUM · 38 reps · 512-600-5390
55
PALLAS CAPITAL ADVISORS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$2.97B RAUM · 24 reps · (781) 971-5052 · pallascapitaladvisors.com
55
CORIENT — added office(s): 32 -> 33 additional locations. IAPD ↗
$94.62B RAUM · 457 reps · (305) 735-2020 · corient.com
53
OGOREK WEALTH MANAGEMENT, LLC — shrank from 8 to 2 advisory reps. IAPD ↗
$468.8M RAUM · 2 reps · 716-626-5000 · ogorek.com
53
DHJJ FINANCIAL ADVISORS — shrank from 11 to 8 advisory reps. IAPD ↗
$463.9M RAUM · 8 reps · 630-420-1360 · dhjjfinancial.com
53
WINCH FINANCIAL — shrank from 17 to 12 advisory reps. IAPD ↗
$420.2M RAUM · 12 reps · 920-739-8577 · winchfinancial.com
53
MUSTARD SEED WEALTH MANAGEMENT — shrank from 10 to 7 advisory reps. IAPD ↗
$364.0M RAUM · 7 reps · 870-234-1618 · mustardseedfinancial.com
53
LAUREL WEALTH ADVISORS, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$860.4M RAUM · 5 reps · 704-927-4379
53
BAKER ELLIS ASSET MANAGEMENT LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$792.1M RAUM · 3 reps · 503-227-5778 · bakerellisllc.com
53
KIRTLAND FINANCIAL MANAGEMENT, INC. — shrank from 3 to 1 advisory reps. IAPD ↗
$296.7M RAUM · 1 reps · (305) 648-0006 · kirtlandfinancial.com
53
BEAR MOUNTAIN CAPITAL INC. — shrank from 5 to 3 advisory reps. IAPD ↗
$308.1M RAUM · 3 reps · 206-420-3713 · bearmountaincapital.com
53
FUND DIRECT ADVISORS INC. — shrank from 6 to 4 advisory reps. IAPD ↗
$524.0M RAUM · 4 reps · 336-271-4450 · funddirectadvisors.com
53
STEWARDSHIP ADVISORY GROUP, LLC — shrank from 15 to 10 advisory reps. IAPD ↗
$269.8M RAUM · 10 reps · 407-470-1405 · stewardshipadvisory.com
53
HEMINGTON WEALTH MANAGEMENT — shrank from 15 to 10 advisory reps. IAPD ↗
$894.4M RAUM · 10 reps · 703-828-2479 · hemingtonwm.com
53
ACCELERATED WEALTH ADVISORS LLC — shrank from 8 to 4 advisory reps. IAPD ↗
$303.8M RAUM · 4 reps · 719-466-5631
53
T. ANTON INVESTMENT HOUSE, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$274.9M RAUM · 2 reps · 608-501-1549 · tantoninvestmenthouse.com
53
SITRIN CAPITAL MANAGEMENT, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$296.5M RAUM · 4 reps · (424) 777-4400 · sitrincapital.com
53
SANDBOX FINANCIAL PARTNERS, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$463.7M RAUM · 5 reps · (301) 214-4190 · sandboxfp.com
53
ELK RIVER WEALTH MANAGEMENT LLC — shrank from 10 to 8 advisory reps. IAPD ↗
$930.8M RAUM · 8 reps · (720) 310-3275
53
TRIFECTA CAPITAL ADVISORS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$567.6M RAUM · 1 reps · 1-847-495-2464 · trifectacapitaladvisors.com
53
&PARTNERS — added office(s): 6 -> 10 additional locations. IAPD ↗
$663.8M RAUM · 71 reps · 615-255-6431 · ensemblewealthplanning.com
53
CLEAN YIELD ASSET MANAGEMENT — added office(s): 1 -> 8 additional locations. IAPD ↗
$510.7M RAUM · 3 reps · 802-526-2525 · cleanyield.com
53
SEARCY FINANCIAL SERVICES, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$377.9M RAUM · 7 reps · 913-814-3800
53
DHJJ FINANCIAL ADVISORS — added office(s): 1 -> 3 additional locations. IAPD ↗
$463.9M RAUM · 8 reps · 630-420-1360 · dhjjfinancial.com
53
DENALI ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$493.4M RAUM · 11 reps · 858-558-3600 · denaliadvisors.com
53
DEW WEALTH MANAGEMENT — added office(s): 9 -> 10 additional locations. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
53
ALTAMONT CAPITAL MANAGEMENT — added office(s): 0 -> 2 additional locations. IAPD ↗
$272.2M RAUM · 2 reps · 828-236-0610
53
LVZ, INC. — added office(s): 13 -> 14 additional locations. IAPD ↗
$874.6M RAUM · 18 reps · 616-394-4994 · tlpfg.com
53
SYMPHONY FINANCIAL SERVICES, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$344.3M RAUM · 9 reps · 330-434-2000
53
PKS ADVISORY SERVICES, LLC — added office(s): 19 -> 20 additional locations. IAPD ↗
$725.2M RAUM · 34 reps · (518) 426-5791 · themacalusogroup.com
53
EDGE FINANCIAL ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$362.4M RAUM · 6 reps · 630-221-1000
53
OLD MISSION INVESTMENT COMPANY, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$679.5M RAUM · 6 reps · 231-929-4100 · omico.net
53
PEACHTREE INVESTMENT PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$265.0M RAUM · 2 reps · 404-226-2728 · peachtreeinvestmentpartners.com
53
PARADIGM WEALTH MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$347.9M RAUM · 6 reps · 440-892-5900 · investpwm.com
53
LAIDLAW WEALTH MANAGEMENT LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$530.4M RAUM · 11 reps · 212-953-4951
53
FIRST FINANCIAL COACHING, INC. — added office(s): 3 -> 4 additional locations. IAPD ↗
$254.7M RAUM · 8 reps · 586-463-1880 · firstfinancialcoach.com
53
SENSIBLE MONEY, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$515.5M RAUM · 10 reps · 480-719-7290
53
WEALTHSTAR ADVISORS, LLC — added office(s): 2 -> 4 additional locations. IAPD ↗
$671.5M RAUM · 10 reps · 972-372-2935
53
GARRISON POINT CAPITAL, LLC — added office(s): 1 -> 3 additional locations. IAPD ↗
$853.9M RAUM · 3 reps · 415-887-1410 · garpc.com
53
FOURSTAR WEALTH ADVISORS, LLC — added office(s): 19 -> 22 additional locations. IAPD ↗
$677.1M RAUM · 25 reps · (312) 667-1750 · optfinancialstrategies.com
53
MASCOMA WEALTH MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$435.3M RAUM · 8 reps · 603-676-8813 · mascomabank.com
53
R2 WEALTH MANAGEMENT PARTNERS — added office(s): 0 -> 1 additional locations. IAPD ↗
$308.6M RAUM · 5 reps · 402-489-9375
53
ALMANACK INVESTMENT PARTNERS — added office(s): 4 -> 5 additional locations. IAPD ↗
$772.5M RAUM · 13 reps · 484-580-2277
53
SFG WEALTH MANAGEMENT — added office(s): 0 -> 2 additional locations. IAPD ↗
$556.3M RAUM · 15 reps · 410-825-3200
53
FORTEM FINANCIAL GROUP, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$394.8M RAUM · 5 reps · 760-206-8500
53
O'BOYLE WEALTH MANAGEMENT, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$312.4M RAUM · 6 reps · 310-601-7075 · oboylewm.com
53
ATTICUS WEALTH MANAGEMENT — added office(s): 4 -> 5 additional locations. IAPD ↗
$370.1M RAUM · 7 reps · 404-907-1899 · atticuswm.com
53
MAG CAP — added office(s): 3 -> 4 additional locations. IAPD ↗
$884.2M RAUM · 10 reps · 601-362-5872
53
LGG FINANCIAL — added office(s): 0 -> 1 additional locations. IAPD ↗
$492.7M RAUM · 2 reps · 301-312-6660 · lggfinancial.com
53
BOOKENDS FINANCIAL PLANNING — added office(s): 2 -> 3 additional locations. IAPD ↗
$254.1M RAUM · 3 reps · 317-859-2502
53
WR WEALTH PLANNERS LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$482.2M RAUM · 15 reps · 573-875-3939 · wrwealth.com
53
SAFEGUARD WEALTH MANAGEMENT — added office(s): 5 -> 6 additional locations. IAPD ↗
$338.5M RAUM · 6 reps · 920-544-0576 · safeguardinvest.com
53
THE INVICTUS COLLECTIVE, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$308.5M RAUM · 4 reps · (866) 636-3468 · theinvictuscollective.com
53
EDGEROCK WEALTH MANAGEMENT — added office(s): 2 -> 3 additional locations. IAPD ↗
$325.1M RAUM · 9 reps · 303.780.7350
53
HOLISTIC PLANNING, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$251.8M RAUM · 5 reps · (936) 800-0800
53
DOWNTOWN WEALTH STUDIOS, LLC — added office(s): 7 -> 9 additional locations. IAPD ↗
$747.2M RAUM · 4 reps · 888-240-2737 · dtwn.co
53
JPL WEALTH MANAGEMENT, LLC — added office(s): 0 -> 3 additional locations. IAPD ↗
$300.0M RAUM · 3 reps · 303-529-3637 · jplwm.com
50
TRANSITION FINANCIAL ADVISORS GROUP, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$223.7M RAUM · 2 reps · (480) 722-9414 · transitionfinancial.ca
50
THE PROSPERITY PEOPLE — shrank from 3 to 1 advisory reps. IAPD ↗
$120.3M RAUM · 1 reps · 859-331-7755 · theprosperitypeople.com
50
HAMMOND ILES WEALTH ADVISORS — shrank from 11 to 4 advisory reps. IAPD ↗
$107.1M RAUM · 4 reps · 860-258-2600
50
R.S. PETRELL & ASSOCIATES, LLC D/B/A STRATEGIC WEALTH ADVISORS — shrank from 5 to 3 advisory reps. IAPD ↗
$124.7M RAUM · 3 reps · 315-218-7350 · strategicwealthadvisors.net
50
PEACHCAP TAX & ADVISORY, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$115.8M RAUM · 4 reps · 404-220-8958 · peachcap.com
50
POST OAK PRIVATE WEALTH ADVISORS — shrank from 8 to 5 advisory reps. IAPD ↗
$204.5M RAUM · 5 reps · 281-580-2100 · postoakprivatewealth.com
50
NEWDAY — shrank from 8 to 4 advisory reps. IAPD ↗
$117.4M RAUM · 4 reps · 415-935-0550
50
BOYCE & ASSOCIATES WEALTH CONSULTING, INC. — shrank from 10 to 7 advisory reps. IAPD ↗
$165.5M RAUM · 7 reps · 512-522-4838
50
INVICTA ADVISORS LLC — shrank from 16 to 9 advisory reps. IAPD ↗
$192.3M RAUM · 9 reps · 724.553.6891 · invictacapitaladvisors.com
50
LSB WEALTH MANAGEMENT — shrank from 11 to 7 advisory reps. IAPD ↗
$231.8M RAUM · 7 reps · 515-327-9922 · mylsbcapital.com
50
NORTHSTAR INVESTMENT ADVISORY LLC — shrank from 20 to 11 advisory reps. IAPD ↗
$0 RAUM · 11 reps · (310)-896-8197
50
LEEB CAPITAL MANAGEMENT, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$92.2M RAUM · 3 reps · 212-653-1504 · leeb.net
50
OCEAN PARK ASSET MANAGEMENT, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$146.8M RAUM · 8 reps · 310-452-1887
50
MOLER CAPITAL MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$158.6M RAUM · 2 reps · 949-748-3993 · molercapital.com
50
CHERRY CREEK INVESTMENT ADVISORS INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$207.5M RAUM · 2 reps · 303-320-5774 · cherrycreekinvestmentadvisors.com
50
LYON CAPITAL MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$86.0M RAUM · 3 reps · 585-248-9821
50
INTEGRA FINANCIAL, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$123.1M RAUM · 4 reps · 303-220-5525 · integrafinancial.ws
50
YARDLEY WEALTH MANAGEMENT LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$147.2M RAUM · 2 reps · 267-573-1019
50
FINANCIAL NAVIGATORS INC. — added office(s): 5 -> 7 additional locations. IAPD ↗
$182.2M RAUM · 6 reps · 978-952-6800
50
BILL LOSEY RETIREMENT SOLUTIONS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$38.3M RAUM · 1 reps · 518-855-4065 · billlosey.com
50
HIGHLAND INVESTMENT ADVISORS LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$239.2M RAUM · 7 reps · 414-755-2309 · highlandinvestmentadvisors.com
50
FOUR PONDS FINANCIAL PLANNING — added office(s): 4 -> 5 additional locations. IAPD ↗
$150.2M RAUM · 4 reps · 888-285-7705
50
KEEN CAPITAL, LTD — added office(s): 1 -> 2 additional locations. IAPD ↗
$144.2M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
50
TONY WALKER FINANCIAL — added office(s): 2 -> 3 additional locations. IAPD ↗
$239.3M RAUM · 4 reps · 270-843-9380 · 3personalities.com
50
TURNER CAPITAL INVESTMENTS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$106.9M RAUM · 2 reps · 855-678-8200
50
ARCHER INVESTMENT MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$229.6M RAUM · 2 reps · 800-840-5946
50
SUMMIT PLACE FINANCIAL ADVISORS, LLC — added office(s): 1 -> 3 additional locations. IAPD ↗
$238.5M RAUM · 3 reps · 908-517-5880
50
BELLWETHER INVESTMENT GROUP, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$123.7M RAUM · 6 reps · 423-698-6256 · focuspointfinancial.com
50
LIONSBRIDGE WEALTH MANAGEMENT LLC — added office(s): 0 -> 3 additional locations. IAPD ↗
$128.9M RAUM · 3 reps · 904-897-0390 · lbwm.net
50
SIERRA WEALTH GROUP, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$133.3M RAUM · 5 reps · 760-918-0304 · sierrawg.com
50
CRESCENT FINANCIAL ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$159.7M RAUM · 2 reps · (864) 888-2666
50
FINSYM PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$136.2M RAUM · 2 reps · 206-510-9234 · finsymllc.com
50
ALLOS INVESTMENT ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$51.3M RAUM · 7 reps · 913-948-7788
50
INVARIANT INVESTMENT MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$91.7M RAUM · 6 reps · (717) 317-9006
50
MFA WEALTH SERVICES — added office(s): 0 -> 1 additional locations. IAPD ↗
$224.1M RAUM · 3 reps · 833-496-5474 · mfaws.com
50
OPULEN FINANCIAL GROUP, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$114.5M RAUM · 1 reps · 571-299-2053
50
LAKEWOOD ASSET MANAGEMENT, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$208.4M RAUM · 4 reps · 312-543-1772 · lakewoodasset.com
50
PROTA FINANCIAL — added office(s): 0 -> 15 additional locations. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
50
XYPN INVEST — added office(s): 2 -> 6 additional locations. IAPD ↗
$101.3M RAUM · 3 reps · (360) 301-7579 · newleaffinancialguidance.com
50
MARATHON WEALTH MANAGEMENT, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$119.6M RAUM · 1 reps · (631) 760-8385 · marathonwealth.net
50
ROCKPORT WEALTH ADVISORS — added office(s): 4 -> 5 additional locations. IAPD ↗
$123.0M RAUM · 9 reps · (216) 226-4560
50
4J WEALTH MANAGEMENT, LLC — added office(s): 0 -> 5 additional locations. IAPD ↗
$245.0M RAUM · 3 reps · (703) 566-9573
50
PORTUS WEALTH ADVISORS, LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$136.6M RAUM · 3 reps · 704-936-0084
50
SINCERUS ADVISORY — added office(s): 0 -> 4 additional locations. IAPD ↗
$155.6M RAUM · 3 reps · (212) 203-7376
50
ARGUS EQUITY PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$39.6M RAUM · 1 reps · 716-838-5504 · aep-ria.com
50
TAPP ENGINE ADVISORS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 617-221-6545 · tappengine.com
50
GILPIN WEALTH MANAGEMENT LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$171.2M RAUM · 4 reps · 720-893-2800 · gilpinwealth.com
50
ILLUMINE INVESTMENT MANAGEMENT, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$188.7M RAUM · 4 reps · 424-322-7500
50
EXCELSIOR — added office(s): 0 -> 1 additional locations. IAPD ↗
$15.2M RAUM · 2 reps · 516-765-7400 · excelsiorim.com
50
SAGE ADVISORS LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$147.7M RAUM · 4 reps · 317-363-6204
50
PREMIER PRIVATE WEALTH, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$237.2M RAUM · 3 reps · 615-777-2125
50
ADOLOS ASSET MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$169.5M RAUM · 2 reps · 3368171604 · adolosassetmanagement.com
50
AMERITY WEALTH MANAGEMENT, LLC — added office(s): 5 -> 12 additional locations. IAPD ↗
$141.0M RAUM · 14 reps · (863) 683-1750 · ameritywm.com
50
ENCOMPASS MORE ASSET MANAGEMENT LLC — added office(s): 7 -> 9 additional locations. IAPD ↗
$228.5M RAUM · 43 reps · 925-272-8850 · encompassmore.com
50
POLARIS INVESTMENT ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$171.5M RAUM · 2 reps · (508) 481-2299 · polarisadv.com
50
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$237.5M RAUM · 3 reps · 626-689-7181 · williamsnovakwm.com
50
DIAZO, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$132.7M RAUM · 3 reps · 702-745-1800
50
MARIDEA WEALTH MANAGEMENT — added office(s): 0 -> 3 additional locations. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
50
STONEBRIDGE WEALTH SYSTEMS LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$102.0M RAUM · 6 reps · 308-698-0144 · stonebridgeiwm.com
50
CAPITAL A WEALTH MANAGEMENT — added office(s): 2 -> 3 additional locations. IAPD ↗
$149.2M RAUM · 8 reps · 724-658-4211
50
CORAL REEF ADVISORS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 312-218-7031
50
SOVRAN ADVISORS, LLC — added office(s): 0 -> 4 additional locations. IAPD ↗
$0 RAUM · 2 reps · 619-281-9890 · sovranadvisors.com
48
AIFAM GROUP LLC — reported RAUM down 29% ($625.5M -> $442.4M). IAPD ↗
$442.4M RAUM · 8 reps · 212-682-6100 · aifaminc.com
48
THAYER PARTNERS LLC — reported RAUM down 26% ($400.3M -> $294.8M). IAPD ↗
$294.8M RAUM · 4 reps · 617-275-5430 · thayerpartnersllc.com
45
ALPHA FINANCIAL ADVISORS, LLC — reported RAUM down 27% ($230.2M -> $168.2M). IAPD ↗
$168.2M RAUM · 4 reps · 703-442-7686 · alphafinancialadvisors.com
45
DEERVIEW ASSET MANAGEMENT — reported RAUM down 38% ($76.9M -> $47.8M). IAPD ↗
$47.8M RAUM · 1 reps · 908-832-2504
45
NORTHLANDING FINANCIAL PARTNERS, LLC — reported RAUM down 43% ($198.4M -> $113.3M). IAPD ↗
$113.3M RAUM · 2 reps · (585) 497-5000 · northlandingfp.com
45
REITZ CAPITAL ADVISORS LLC — reported RAUM down 38% ($146.3M -> $90.7M). IAPD ↗
$90.7M RAUM · 1 reps · (989) 791-3693 · reitzfg.com
45
GRANITE FINANCIAL GROUP — reported RAUM down 33% ($221.1M -> $149.1M). IAPD ↗
$149.1M RAUM · 1 reps · 262-792-1111 · granitefgllc.com
45
INVICTA ADVISORS LLC — reported RAUM down 54% ($421.9M -> $192.3M). IAPD ↗
$192.3M RAUM · 9 reps · 724.553.6891 · invictacapitaladvisors.com
45
FNZ ADVISERS LLC — reported RAUM down 42% ($105.0M -> $61.0M). IAPD ↗
$61.0M RAUM · 1 reps · 646-946-1614 · fnz.com
70
ARBOR REALTY COLLATERAL MANAGEMENT, LLC — grew from 11 to 54 advisory reps. IAPD ↗fund
$7.63B RAUM · 54 reps · 1-800-878-5160 · arbor.com
70
LMR PARTNERS LLC — grew from 26 to 43 advisory reps. IAPD ↗fund
$148.50B RAUM · 43 reps · 6468915738 · lmrpartners.com
63
AEREF MANAGEMENT, LLC — grew from 7 to 20 advisory reps. IAPD ↗fund
$25.8M RAUM · 20 reps · (212) 721-5500
62
ROBINSON CAPITAL MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗institutional
$1.23B RAUM · 7 reps · 313-821-7000
62
FOREST CAPITAL MANAGEMENT, LLC — grew from 5 to 7 advisory reps. IAPD ↗institutional
$2.03B RAUM · 7 reps · 312-809-6010
61
JEFFERIES RESEARCH SERVICES LLC — grew from 242 to 248 advisory reps. IAPD ↗institutional
$0 RAUM · 248 reps · 212-284-2300 · jefferies.com
59
RAYLIANT INVESTMENT RESEARCH — grew from 12 to 16 advisory reps. IAPD ↗institutional
$135.3M RAUM · 16 reps · 818-795-6189 · rayliant.com
58
DUALITY GROUP — grew from 6 to 9 advisory reps. IAPD ↗fund
$1.36B RAUM · 9 reps · 646-690-9960 · dualitygroup.com
56
TRUELINK CAPITAL MANAGEMENT, LLC — grew from 7 to 10 advisory reps. IAPD ↗fund
$528.3M RAUM · 10 reps · 310-736-5853 · truelinkcap.com
55
TEKLA CAPITAL MANAGEMENT LLC — (BOSTON, MA) left the SEC roster (was $3.22B RAUM, 13 reps). IAPD ↗institutional
$3.22B RAUM · 13 reps · 617-772-8500
55
ETF MANAGERS GROUP LLC — (SUMMIT, NJ) left the SEC roster (was $3.48B RAUM, 2 reps). IAPD ↗institutional
$3.48B RAUM · 2 reps · 908-897-0510
53
LONETREE CAPITAL, LLC — grew from 5 to 8 advisory reps. IAPD ↗fund
$130.0M RAUM · 8 reps · 212-844-9150
52
C CUBED CAPITAL PARTNERS, LLC — grew from 3 to 5 advisory reps. IAPD ↗fund
$187.5M RAUM · 5 reps · 561-576-9145 · ccubedcapitalpartners.com
52
BIRNAM OAK ADVISORS, LP — grew from 1 to 3 advisory reps. IAPD ↗fund
$169.5M RAUM · 3 reps · 212-970-5800
50
NEZU ASIA CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $64.7M RAUM, 2 reps). IAPD ↗institutional
$64.7M RAUM · 2 reps · 212-476-7800 · nezuasia.com
50
ERGOTELES CAPITAL — (NEW YORK, NY) left the SEC roster (was $4.63B RAUM, 26 reps). IAPD ↗fund
$4.63B RAUM · 26 reps · 646-701-0015 · info.ergotelescapital.com
50
BLUE ROCK ADVISORS, LLC — (EXCELSIOR, MN) left the SEC roster (was $1.22B RAUM, 3 reps). IAPD ↗fund
$1.22B RAUM · 3 reps · (952) 229-8700 · blue-rock.com
50
ZENO RESEARCH, LLC — (NEW YORK, NY) left the SEC roster (was $169.6M RAUM, 2 reps). IAPD ↗institutional
$169.6M RAUM · 2 reps · 646-395-9932
50
AMBLESIDE INVESTMENTS — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 317-331-3210
50
ARC LUMINOUS MANAGEMENT COMPANY LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 615-554-0044 · luminouscapitalinc.com
48
JET CAPITAL INVESTORS, LP — (NEW YORK, NY) left the SEC roster (was $451.8M RAUM, 4 reps). IAPD ↗fund
$451.8M RAUM · 4 reps · 212-372-2590
48
ENGINE NO.1 LLC — (SAN FRANCISCO, CA) left the SEC roster (was $299.9M RAUM, 11 reps). IAPD ↗fund
$299.9M RAUM · 11 reps · 628-251-1222 · engine1.com
48
CARROLL INVESTMENTS, LLC — (ATLANTA, GA) left the SEC roster (was $563.1M RAUM, 10 reps). IAPD ↗fund
$563.1M RAUM · 10 reps · 404-812-8270 · carrollinvestmentsllc.com
48
SNOW LAKE MANAGEMENT LP — (MENLO PARK, CA) left the SEC roster (was $562.9M RAUM, 1 reps). IAPD ↗fund
$562.9M RAUM · 1 reps · 917-373-8787 · snowlakecap.com
47
WAVERTON INVESTMENT MANAGEMENT LIMITED — grew from 44 to 51 advisory reps. IAPD ↗foreign
$13.91B RAUM · 51 reps · 0044 20 7484 7496 · waverton.co.uk
45
GALAPAGOS WEALTH MANAGEMENT, LLC — (HOUSTON, TX) left the SEC roster (was $88.2M RAUM, 2 reps). IAPD ↗fund
$88.2M RAUM · 2 reps · 713-803-4326
45
VII PEAKS CAPITAL LLC — (SANTA MONICA, CA) left the SEC roster (was $27.6M RAUM, 1 reps). IAPD ↗fund
$27.6M RAUM · 1 reps · (415) 983-0127
45
BREAKWATER MANAGEMENT, LP — (CENTURY CITY, CA) left the SEC roster (was $169.2M RAUM, 6 reps). IAPD ↗fund
$169.2M RAUM · 6 reps · (424) 777-4000 · breakwatermgmt.com
45
MICKEY BARRETO MISSIONS-MANHATTAN SECURITIES — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 6462716094
45
ATLANTICA VENTURES MANAGEMENT LLC — (location n/a) left the SEC roster (was $51.2M RAUM, 6 reps). IAPD ↗fund
$51.2M RAUM · 6 reps · 202-247-5328 · atlanticaventures.com
45
MONTANA AVENUE CAPITAL PARTNERS, LLC — (LOS ANGELES, CA) left the SEC roster — its 120-day provisional registration did not convert (was $58.7M RAUM, 10 reps). IAPD ↗fund
$58.7M RAUM · 10 reps · 424-744-8637 · macpartnersllc.com
45
OMNICAP GROUP LLC — added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$3.93B RAUM · 4 reps · 310-318-3091 · omnicap.net
45
MONASHEE INVESTMENT MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$2.25B RAUM · 11 reps · 617-671-0048 · monasheecap.com
45
FOREST CAPITAL MANAGEMENT, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗institutional
$2.03B RAUM · 7 reps · 312-809-6010
45
HOLBROOK HOLDINGS, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$1.55B RAUM · 2 reps · 678-400-3980 · holbrookholdings.com
43
WEALHOUSE CAPITAL LIMITED PARTNERSHIP — grew from 3 to 6 advisory reps. IAPD ↗foreign
$1.59B RAUM · 6 reps · 416-644-1190 · wealhouse.com
43
MELQART ASSET MANAGEMENT (UK) LIMITED — grew from 11 to 14 advisory reps. IAPD ↗foreign
$3.93B RAUM · 14 reps · 44 2038264470 · melqart.com
40
PLANPILOT — reported RAUM down 77% ($13.03B -> $3.02B). IAPD ↗institutional
$3.02B RAUM · 11 reps · 312-973-4911
40
LEUCADIA ASSET MANAGEMENT LLC — shrank from 128 to 21 advisory reps. IAPD ↗fund
$3.49B RAUM · 21 reps · 212-284-2300
40
SENATOR INVESTMENT GROUP LP — shrank from 15 to 12 advisory reps. IAPD ↗fund
$5.34B RAUM · 12 reps · 212-376-4300 · senatorlp.com
40
JEFFERIES FINANCE LLC — shrank from 59 to 50 advisory reps. IAPD ↗fund
$16.41B RAUM · 50 reps · 212-284-3474 · apexcreditpartners.com
40
LFA — grew from 7 to 9 advisory reps. IAPD ↗foreign
$990.6M RAUM · 9 reps · 41919212533
40
VISTA EQUITY PARTNERS MANAGEMENT, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗fund
$103.80B RAUM · 220 reps · 415-765-6500
40
MONARCH PLAN ADVISORS — added office(s): 3 -> 4 additional locations. IAPD ↗institutional
$0 RAUM · 6 reps · (818) 444-0376 · monarchcorpadvisors.com
40
ASPIRE STRATEGIST PORTFOLIOS LLC — added office(s): 3 -> 4 additional locations. IAPD ↗institutional
$44,069 RAUM · 2 reps · 212 292 3177
38
ARX MANAGEMENT, LLC — reported RAUM down 29% ($1.03B -> $728.3M). IAPD ↗institutional
$728.3M RAUM · 2 reps · 310-546-5279 · arxmgmt.com
38
PARALLEL49 EQUITY — shrank from 7 to 5 advisory reps. IAPD ↗fund
$310.9M RAUM · 5 reps · 847-295-4410 · p49equity.com
38
272 CAPITAL LLC — shrank from 8 to 6 advisory reps. IAPD ↗fund
$530.8M RAUM · 6 reps · 214-556-2465
35
LEUCADIA ASSET MANAGEMENT LLC — reported RAUM down 31% ($5.07B -> $3.49B). IAPD ↗fund
$3.49B RAUM · 21 reps · 212-284-2300
35
HIGHPEAK ENERGY MANAGEMENT, LLC — reported RAUM down 38% ($1.86B -> $1.16B). IAPD ↗fund
$1.16B RAUM · 3 reps · 817-850-9200
35
SANDERSON ASSET MANAGEMENT — (LONDON, United Kingdom) left the SEC roster (was $1.38B RAUM, 7 reps). IAPD ↗foreign
$1.38B RAUM · 7 reps · 011-44207-468-5970 · sandersonam.com
35
AFFIRMATIVE INVESTMENT MANAGEMENT PARTNERS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $1.05B RAUM, 15 reps). IAPD ↗foreign
$1.05B RAUM · 15 reps · +44 (0)2039496900 · affirmativeim.com
35
SENDER COMPANY & PARTNERS, INC. — shrank from 12 to 6 advisory reps. IAPD ↗fund
$186.5M RAUM · 6 reps · 212-893-7459 · sendercompany.com
35
EXOS ASSET MANAGEMENT LLC — shrank from 11 to 7 advisory reps. IAPD ↗fund
$205.7M RAUM · 7 reps · (646) 814-0996 · exosfinancial.com
35
STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC — shrank from 5 to 3 advisory reps. IAPD ↗fund
$105.5M RAUM · 3 reps · 214-845-7254 · stratos.xyz
35
FCCI CONSULTING, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$170.8M RAUM · 2 reps · 516-765-7400
35
AEREF MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$25.8M RAUM · 20 reps · (212) 721-5500
35
C CUBED CAPITAL PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$187.5M RAUM · 5 reps · 561-576-9145 · ccubedcapitalpartners.com
33
PARALLEL49 EQUITY — reported RAUM down 37% ($492.4M -> $310.9M). IAPD ↗fund
$310.9M RAUM · 5 reps · 847-295-4410 · p49equity.com
33
YCAP ASSET MANAGEMENT — (PARIS, ILE-DE-FRANCE, France) left the SEC roster (was $692.0M RAUM, 8 reps). IAPD ↗foreign
$692.0M RAUM · 8 reps · +33 (0) 1 75 77 47 00 · ycapam.fr
30
GREY MOUNTAIN PARTNERS — reported RAUM down 51% ($80.4M -> $39.7M). IAPD ↗fund
$39.7M RAUM · 2 reps · 303-449-5692 · greymountain.com
30
BENGAL ASSET MANAGEMENT, LLC — reported RAUM down 26% ($273.3M -> $203.3M). IAPD ↗fund
$203.3M RAUM · 3 reps · 310-237-6608 · bengalassetmanagement.com
30
RVX ASSET MANAGEMENT LLC — reported RAUM down 25% ($246.4M -> $184.7M). IAPD ↗fund
$184.7M RAUM · 5 reps · 305-363-6847 · rvx-am.com
30
EXOS ASSET MANAGEMENT LLC — reported RAUM down 77% ($886.4M -> $205.7M). IAPD ↗fund
$205.7M RAUM · 7 reps · (646) 814-0996 · exosfinancial.com
30
STRATOS TECHNOLOGIES CAPITAL MANAGEMENT LLC — reported RAUM down 35% ($161.5M -> $105.5M). IAPD ↗fund
$105.5M RAUM · 3 reps · 214-845-7254 · stratos.xyz
30
HESTIA CAPITAL MANAGEMENT, LLC — reported RAUM down 28% ($133.7M -> $96.8M). IAPD ↗fund
$96.8M RAUM · 1 reps · (878)217-4800 · hestiacapital.com
30
MILLENNIUM GLOBAL INVESTMENTS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $114.5M RAUM, 12 reps). IAPD ↗foreign
$114.5M RAUM · 12 reps · 44-20-7663-8900 · investments.millenniumglobal.com
30
HNW MANAGEMENT INC. — (TORONTO, ONTARIO, Canada) left the SEC roster (was $67.0M RAUM, 2 reps). IAPD ↗foreign
$67.0M RAUM · 2 reps · 416-483-0963
30
MCI ASSET MANAGEMENT, LLC — (LONDON, United Kingdom) left the SEC roster (was $500,000 RAUM, 0 reps). IAPD ↗foreign
$500,000 RAUM · 0 reps · 11-44-0203-875-0982
30
STADDEN FORBES WEALTH MANAGEMENT LTD — (LONDON, United Kingdom) left the SEC roster (was $10.0M RAUM, 2 reps). IAPD ↗foreign
$10.0M RAUM · 2 reps · 447971460104 · staddenforbes.com
30
SILVER MOUNT CAPITAL LIMITED — (LONDON, United Kingdom) left the SEC roster (was $107.1M RAUM, 3 reps). IAPD ↗foreign
$107.1M RAUM · 3 reps · 44-207-659-4137 · silvermount.com
30
WESTOR COMPLIANCE SERVICES LLC — (LUGANO, Switzerland) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗foreign
$0 RAUM · 1 reps · 4191-234-4530
23
AGF INVESTMENTS — shrank from 9 to 7 advisory reps. IAPD ↗foreign
$570.5M RAUM · 7 reps · 416-367-1900 · agf.com
20
ECHELON PARTNERS USA INC. — added office(s): 2 -> 3 additional locations. IAPD ↗foreign
$20.3M RAUM · 6 reps · 416-572-5523 · echelonpartnersusa.com

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.