← Tributary

Recruiting & transitions — May 2024

Recruiters, transition consultants, and firms hiring advisors.

199 firms opened this window in the May 2024 SEC roster: 79 new office, 57 deregistered, 33 headcount up, 17 headcount down, 13 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
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — grew from 60 to 80 advisory reps. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
85
THE COLONY GROUP, LLC — grew from 255 to 285 advisory reps. IAPD ↗
$21.47B RAUM · 285 reps · 617-723-8200 · debrabrede.com
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 52 to 74 advisory reps. IAPD ↗
$11.29B RAUM · 74 reps · 312-334-7300
85
F/M INVESTMENTS LLC — grew from 8 to 35 advisory reps. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
83
CONSOLIDATED PLANNING CORPORATION — grew from 9 to 22 advisory reps. IAPD ↗
$1.58B RAUM · 22 reps · 404-879-3000 · cpcadvisors.com
83
SOVRAN ADVISORS, LLC — grew from 2 to 45 advisory reps. IAPD ↗
$841.6M RAUM · 45 reps · 619-281-9890 · sovranadvisors.com
80
NECTARINE — grew from 1 to 18 advisory reps. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
78
WAVERLY ADVISORS, LLC — grew from 84 to 92 advisory reps. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
78
SANCTUARY ADVISORS, LLC — grew from 309 to 317 advisory reps. IAPD ↗
$22.02B RAUM · 317 reps · 317-975-7729
78
CONCURRENT INVESTMENT ADVISORS, LLC — grew from 106 to 114 advisory reps. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
77
IHT WEALTH MANAGEMENT LLC — grew from 139 to 146 advisory reps. IAPD ↗
$4.82B RAUM · 146 reps · 855-295-2828
73
EMBREE FINANCIAL GROUP — grew from 10 to 13 advisory reps. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
72
ST. BERNARD FINANCIAL SERVICES, INC. — grew from 23 to 30 advisory reps. IAPD ↗
$128.7M RAUM · 30 reps · 479-967-1200 · turnerfinancial.net
72
CROSSINGBRIDGE ADVISORS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
$2.78B RAUM · 9 reps · (914) 741-1515 · crossingbridgefunds.com
71
SINGER WEALTH ADVISORS LLC — grew from 9 to 12 advisory reps. IAPD ↗
$424.6M RAUM · 12 reps · 561-998-9985
70
BLUE BARN WEALTH — grew from 4 to 6 advisory reps. IAPD ↗
$431.4M RAUM · 6 reps · (801) 466-4101 · bluebarnwealth.com
70
CAPSTONE CAPITAL WEALTH ADVISORS — grew from 2 to 4 advisory reps. IAPD ↗
$321.3M RAUM · 4 reps · 702-433-7588
70
RIVERVIEW CAPITAL ADVISERS LLC — grew from 4 to 6 advisory reps. IAPD ↗
$527.5M RAUM · 6 reps · 617-423-0080 · riverviewcapital.com
70
TSFG, LLC — grew from 6 to 8 advisory reps. IAPD ↗
$649.1M RAUM · 8 reps · 847-735-7100
70
TACTIVE ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$405.8M RAUM · 3 reps · 855-282-2848 · pcliftonfinancial.com
69
CARDEA CAPITAL ADVISORS, LLC — grew from 5 to 9 advisory reps. IAPD ↗
$79.3M RAUM · 9 reps · 770-977-7779
67
TRINITY INVESTMENT MANAGEMENT, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$114.8M RAUM · 6 reps · 682-348-1732 · trinityfiduciary.com
67
GKFO, LLC — grew from 8 to 10 advisory reps. IAPD ↗
$29.1M RAUM · 10 reps · 610-341-3900 · gkfo.net
67
LPF ADVISORS, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$232.1M RAUM · 5 reps · (941) 907-0101 · waypointadvisors.com
67
WASHINGTON AVENUE ADVISORS — grew from 4 to 6 advisory reps. IAPD ↗
$224.2M RAUM · 6 reps · 844-678-1842
65
CETERA ADVISORS LLC — (GREENWOOD VILLAGE, IL) left the SEC roster (was $21.99B RAUM, 997 reps). IAPD ↗
$21.99B RAUM · 997 reps · 310-257-7880 · cetera.com
65
UBS HEDGE FUND SOLUTIONS — (STAMFORD, CT) left the SEC roster (was $39.19B RAUM, 73 reps). IAPD ↗
$39.19B RAUM · 73 reps · 203-719-1428 · ubs.com
65
STONECASTLE CASH MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $7.08B RAUM, 11 reps). IAPD ↗
$7.08B RAUM · 11 reps · 212-354-6500 · icm.stonecastle.com
63
RAINSBERGER WEALTH ADVISORS — (COLORADO SPRINGS, CO) left the SEC roster (was $355.7M RAUM, 4 reps). IAPD ↗
$355.7M RAUM · 4 reps · 719-328-1944 · rwapartners.com
63
SPOUTING ROCK ASSET MANAGEMENT, LLC — (BRYN MAWR, PA) left the SEC roster (was $455.0M RAUM, 13 reps). IAPD ↗
$455.0M RAUM · 13 reps · 610-788-2128 · spoutingrock.us
63
THE J. ARNOLD WEALTH MANAGEMENT CO., LLC — (YOUNGSTOWN, OH) left the SEC roster (was $255.3M RAUM, 2 reps). IAPD ↗
$255.3M RAUM · 2 reps · 330-965-9890 · jarnoldwealth.com
60
FRIESS ASSOCIATES, LLC — (GREENVILLE, DE) left the SEC roster (was $181.9M RAUM, 7 reps). IAPD ↗
$181.9M RAUM · 7 reps · 302-656-3017 · friess.com
60
ACCESS INVESTMENT ADVISORS INC — (MANITOWOC, WI) left the SEC roster (was $217.9M RAUM, 3 reps). IAPD ↗
$217.9M RAUM · 3 reps · 920.683.9901 · access95.com
60
THIRD STREET ADVISORS, LLC — (GENEVA, IL) left the SEC roster (was $95.6M RAUM, 4 reps). IAPD ↗
$95.6M RAUM · 4 reps · 630-513-8815
60
EXPERIENTIAL WEALTH, INC. — (CABIN JOHN, MD) left the SEC roster (was $164.2M RAUM, 2 reps). IAPD ↗
$164.2M RAUM · 2 reps · 703-847-4380 · experientialwealth.com
60
PIERMONT WEALTH MANAGEMENT INC. — (MELVILLE, NY) left the SEC roster (was $221.4M RAUM, 1 reps). IAPD ↗
$221.4M RAUM · 1 reps · 631-454-1585
60
LANDMARK CAPITAL INC. — (OAK BROOK, IL) left the SEC roster (was $1.7M RAUM, 2 reps). IAPD ↗
$1.7M RAUM · 2 reps · 630-990-1800 · landmarkcpi.com
60
EISEN FINANCIAL SERVICES, INC. — (location n/a) left the SEC roster (was $34.1M RAUM, 1 reps). IAPD ↗
$34.1M RAUM · 1 reps · 845-534-1075
60
TORSHEN CAPITAL MANAGEMENT, LLC — (CHICAGO, IL) left the SEC roster (was $34.1M RAUM, 3 reps). IAPD ↗
$34.1M RAUM · 3 reps · 312-274-0200
60
ALEXANDER CAPITAL ADVISORS, LLC — (NEW CANAAN, CT) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 203-966-7707 · alexcapadv.com
60
LIGHTHOUSE FINANCIAL — (WILMINGTON, DE) left the SEC roster (was $100.6M RAUM, 3 reps). IAPD ↗
$100.6M RAUM · 3 reps · 302-351-5660 · mylighthousefinancial.com
60
HOLIFIELD FINANCIAL ADVISORY SERVICES/PROSPER FINANCIAL ADVISERS — (SAINT PETERSBURG, FL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 727-823-3801
60
JHH WEALTH, LLC — (GREENVILLE, SC) left the SEC roster (was $41.0M RAUM, 4 reps). IAPD ↗
$41.0M RAUM · 4 reps · 704-332-2032
60
EJL ASSET MANAGEMENT, LLC — (location n/a) left the SEC roster (was $36.2M RAUM, 1 reps). IAPD ↗
$36.2M RAUM · 1 reps · 240-505-1090
60
WAYPOINT ASSET MANAGEMENT LLC — (BOCA RATON, FL) left the SEC roster (was $141.3M RAUM, 1 reps). IAPD ↗
$141.3M RAUM · 1 reps · 203-658-7001 · waypointassetmanagement.com
60
BREAN ASSET MANAGEMENT, LLC — (SUMMIT, NJ) left the SEC roster (was $215.1M RAUM, 5 reps). IAPD ↗
$215.1M RAUM · 5 reps · 212-702-6677
60
TROTT BROOK FINANCIAL — (ANOKA, MN) left the SEC roster (was $81.0M RAUM, 1 reps). IAPD ↗
$81.0M RAUM · 1 reps · (763) 213-1000
60
CAVAN CAPITAL MANAGEMENT LLC — (NAPLES, FL) left the SEC roster (was $12.8M RAUM, 2 reps). IAPD ↗
$12.8M RAUM · 2 reps · 312-961-4820 · cavancapitalllc.com
60
WEALTH MANAGEMENT SOLUTIONS, LLC — (NEWPORT BEACH, CA) left the SEC roster (was $37.2M RAUM, 1 reps). IAPD ↗
$37.2M RAUM · 1 reps · 949-475-9700 · wms-llc.com
60
FOLLOW RIA — (SAN FRANCISCO, CA) left the SEC roster (was $31,345 RAUM, 1 reps). IAPD ↗
$31,345 RAUM · 1 reps · 707- 563-1896 · follow.co
60
ENVESTNET EMBEDDED ADVISORY, INC. — (CHICAGO, IL) left the SEC roster (was $10,415 RAUM, 10 reps). IAPD ↗
$10,415 RAUM · 10 reps · 312-827-2800 · envestnet.com
60
THE FIRM INCORPORATED — (location n/a) left the SEC roster (was $135.0M RAUM, 1 reps). IAPD ↗
$135.0M RAUM · 1 reps · 720-936-7300
60
COHERENCE FINANCE INC. — (CHICAGO, IL) left the SEC roster (was $12,000 RAUM, 2 reps). IAPD ↗
$12,000 RAUM · 2 reps · 7082779131
60
WEALTH MORE ENTERPRISE, INC. — (PHILADELPHIA, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 888-303-6361 · getwealthmore.com
60
ANCHORCOVE PARTNERS — (location n/a) left the SEC roster (was $44.6M RAUM, 1 reps). IAPD ↗
$44.6M RAUM · 1 reps · (516) 606-1733 · acpwp.com
60
VOURA — (location n/a) left the SEC roster (was $134,277 RAUM, 1 reps). IAPD ↗
$134,277 RAUM · 1 reps · 317-213-0395
60
PLENTINA FINANCIAL INC. — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (650) 796 6722 · plentinafinancial.com
60
FPG WEALTH — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $35.7M RAUM, 1 reps). IAPD ↗
$35.7M RAUM · 1 reps · 847-668-7950
60
INTER&CO US ADVISORS LLC — (MIAMI, FL) left the SEC roster (was $0 RAUM, 6 reps). IAPD ↗
$0 RAUM · 6 reps · 888-305-7264 · inter.co
60
GENESIS FINANCIAL GROUP, 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 · 2012642575
60
OFF-ZERO FINANCIAL, 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 · 512-956-7270 · offzerofinancial.com
60
LIGHT LANE MANAGEMENT — (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 · 714-328-0538
55
NBC SECURITIES, INC. — shrank from 75 to 39 advisory reps. IAPD ↗
$1.70B RAUM · 39 reps · 800-521-9390 · nbcsecurities.com
55
DAVIDSON INVESTMENT ADVISORS, INC. — shrank from 13 to 10 advisory reps. IAPD ↗
$4.50B RAUM · 10 reps · 406-727-6111 · dadco.com
55
OVERBROOK MANAGEMENT CORPORATION — shrank from 5 to 3 advisory reps. IAPD ↗
$1.23B RAUM · 3 reps · 212-661-8710 · overbrook.com
55
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS — added office(s): 4 -> 7 additional locations. IAPD ↗
$15.32B RAUM · 80 reps · 216-621-1090 · clearsteadinvestmentforum.buzzsprout.com
55
SMITH SHELLNUT WILSON — added office(s): 0 -> 1 additional locations. IAPD ↗
$7.23B RAUM · 14 reps · 601-605-1776
55
CLARFELD — added office(s): 30 -> 31 additional locations. IAPD ↗
$9.52B RAUM · 160 reps · 914-846-0100
55
MASLOW WEALTH ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.76B RAUM · 10 reps · 512-610-6930
55
EMBREE FINANCIAL GROUP — added office(s): 0 -> 4 additional locations. IAPD ↗
$2.04B RAUM · 13 reps · 312-527-5565
55
SATHER FINANCIAL GROUP, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$1.73B RAUM · 7 reps · 361-570-1800 · satherfinancial.com
55
GRIMES & COMPANY, INC. — added office(s): 16 -> 17 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
55
COOPER MCMANUS — added office(s): 22 -> 24 additional locations. IAPD ↗
$1.58B RAUM · 38 reps · 800-516-5333 · morgansterlingpwm.com
55
WAVERLY ADVISORS, LLC — added office(s): 17 -> 18 additional locations. IAPD ↗
$11.38B RAUM · 92 reps · 205-871-3334 · waverly-advisors.com
55
THE RETIREMENT PLANNING GROUP, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$1.80B RAUM · 19 reps · 913-498-8898
55
SRS CAPITAL ADVISORS, INC. — added office(s): 4 -> 5 additional locations. IAPD ↗
$1.44B RAUM · 17 reps · 303-633-5900 · sealfinancial.com
55
NATIONWIDE INVESTMENT ADVISORS, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$14.33B RAUM · 348 reps · 614-435-8371
55
BENEFIT FINANCIAL SERVICES GROUP — added office(s): 4 -> 5 additional locations. IAPD ↗
$1.15B RAUM · 26 reps · 949-955-2552 · bfsg-az.com
55
ROYAL FUND MANAGEMENT, LLC — added office(s): 82 -> 83 additional locations. IAPD ↗
$1.36B RAUM · 83 reps · 352-750-1637 · 401kmaneuver.com
55
PATHSTONE — added office(s): 15 -> 18 additional locations. IAPD ↗
$48.26B RAUM · 287 reps · 201-944-7284
55
CAPITAL INVESTMENT ADVISORS, LLC — added office(s): 7 -> 8 additional locations. IAPD ↗
$5.26B RAUM · 46 reps · 404-531-0018
55
THE COLONY GROUP, LLC — added office(s): 25 -> 29 additional locations. IAPD ↗
$21.47B RAUM · 285 reps · 617-723-8200 · debrabrede.com
55
APELLA WEALTH — added office(s): 14 -> 15 additional locations. IAPD ↗
$3.35B RAUM · 40 reps · 860.785.2260
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC — added office(s): 13 -> 15 additional locations. IAPD ↗
$11.29B RAUM · 74 reps · 312-334-7300
55
THE FIDUCIARY ALLIANCE — added office(s): 13 -> 14 additional locations. IAPD ↗
$1.23B RAUM · 28 reps · 864-385-7999
55
EVERSOURCE WEALTH ADVISORS, LLC — added office(s): 19 -> 21 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
55
F/M INVESTMENTS LLC — added office(s): 5 -> 8 additional locations. IAPD ↗
$12.85B RAUM · 35 reps · 202-839-4910 · fm-invest.com
55
DAYMARK WEALTH PARTNERS, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$2.50B RAUM · 16 reps · 513-838-2520
55
CONCURRENT INVESTMENT ADVISORS, LLC — added office(s): 29 -> 37 additional locations. IAPD ↗
$6.26B RAUM · 114 reps · (813) 575-2652 · concurrentny.com
53
FCF ADVISORS LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$558.9M RAUM · 3 reps · 212-217-2597
53
INVESTMENT RESEARCH PARTNERS — shrank from 6 to 4 advisory reps. IAPD ↗
$300.8M RAUM · 4 reps · 814-966-7206
53
CAMARDA WEALTH ADVISORY GROUP — added office(s): 5 -> 6 additional locations. IAPD ↗
$331.1M RAUM · 8 reps · 904-278-1177
53
DEW WEALTH MANAGEMENT — added office(s): 10 -> 11 additional locations. IAPD ↗
$293.9M RAUM · 21 reps · 480-614-9119
53
BLUESKY WEALTH ADVISORS, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$730.2M RAUM · 9 reps · 252-633-0107 · blueskywa.com
53
BROGAN FINANCIAL — added office(s): 1 -> 2 additional locations. IAPD ↗
$444.2M RAUM · 5 reps · (865) 862-6800
53
NEPSIS, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$350.8M RAUM · 15 reps · 952-746-2003 · investingforsuccessforyou.com
53
SECURE ASSET MANAGEMENT, L.L.C. — added office(s): 13 -> 14 additional locations. IAPD ↗
$599.6M RAUM · 43 reps · 248-414-1562 · re-transition.com
53
PASI INVESTMENTS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$503.3M RAUM · 4 reps · 860-284-6880
53
RIA ADVISORY GROUP, LLC — added office(s): 11 -> 12 additional locations. IAPD ↗
$398.9M RAUM · 21 reps · 515 965-8588 · dakotaadvisoryteam.com
53
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT" — added office(s): 0 -> 1 additional locations. IAPD ↗
$274.1M RAUM · 5 reps · 888-500-9267 · pro-visionwealth.com
53
SILVERLAKE WEALTH MANAGEMENT LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$485.7M RAUM · 7 reps · (802) 857-5083
53
GREYTOWN ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
$846.7M RAUM · 5 reps · 305-901-1600 · greytownadvisors.com
53
360 FINANCIAL — added office(s): 1 -> 2 additional locations. IAPD ↗
$475.4M RAUM · 8 reps · 952-542-8900
53
COOK WEALTH, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$475.0M RAUM · 10 reps · (919) 784-9100 · cookwealth.com
53
FIDUCIARY FINANCIAL ADVISORS — added office(s): 7 -> 8 additional locations. IAPD ↗
$555.4M RAUM · 22 reps · 6166223062
53
BENTOAK CAPITAL — added office(s): 2 -> 3 additional locations. IAPD ↗
$473.0M RAUM · 12 reps · 817-550-6750
53
GRANITE BAY WEALTH MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$357.3M RAUM · 6 reps · 603-610-8881 · granitebaywm.com
53
RIVERSEDGE ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$594.4M RAUM · 13 reps · 302-573-6864
53
MADISON PARTNERS — added office(s): 3 -> 4 additional locations. IAPD ↗
$559.0M RAUM · 9 reps · 608-210-1021
53
FOCUSED ALPHA, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
53
PARK EDGE ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$460.2M RAUM · 5 reps · (216) 727-0144 · parkedgeadvisors.com
53
UNITED ADVISOR GROUP — added office(s): 17 -> 18 additional locations. IAPD ↗
$578.8M RAUM · 28 reps · 888.242.4912 · uagria.com
53
VICTORY FINANCIAL — added office(s): 4 -> 5 additional locations. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
53
TAR RIVER WEALTH PLANNING, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$328.6M RAUM · 5 reps · 919-496-1511 · tarriverwealthplanning.com
50
WELLINGTON CONSULTING SERVICES INC — reported RAUM down 30% ($1.69B -> $1.18B). IAPD ↗
$1.18B RAUM · 9 reps · 877-836-1993 · wellington401k.com
50
CHICAGO INVESTMENT ADVISORY COUNCIL, INC. — shrank from 7 to 5 advisory reps. IAPD ↗
$160.0M RAUM · 5 reps · 630-444-1410 · ciacinc.com
50
BAER WEALTH MANAGEMENT — shrank from 4 to 2 advisory reps. IAPD ↗
$249.7M RAUM · 2 reps · 770-984-2312
50
TRIUMPH WEALTH ADVISORS, INC. — shrank from 15 to 4 advisory reps. IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
50
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$116.6M RAUM · 4 reps · 475-241-6966
50
ALIGNE WEALTH ADVISORS INVESTMENT MANAGEMENT (AWAIM) — shrank from 8 to 5 advisory reps. IAPD ↗
$164.8M RAUM · 5 reps · (310) 795-0622
50
ST. BERNARD FINANCIAL SERVICES, INC. — added office(s): 23 -> 30 additional locations. IAPD ↗
$128.7M RAUM · 30 reps · 479-967-1200 · turnerfinancial.net
50
TACONIC ADVISORS — added office(s): 2 -> 3 additional locations. IAPD ↗
$179.3M RAUM · 4 reps · 845-486-5039
50
CONCEPTUAL FINANCIAL ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$138.3M RAUM · 3 reps · 920-731-9500 · ontrackadvisor.com
50
ROCKET DOLLAR ADVISOR, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 0 reps · 855-762-5383 · rocketdollar.com
50
TACTIVEST, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$122.3M RAUM · 2 reps · 415-752-7311
50
PARROTT WEALTH MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$184.5M RAUM · 2 reps · 719-440-2662 · parrottwealth.com
50
SPRING CAPITAL MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$157.0M RAUM · 2 reps · 806-322-5000 · springcapitalmanagement.com
50
PROTA FINANCIAL — added office(s): 15 -> 18 additional locations. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
50
SIEBERT ADVISORNXT, LLC. — added office(s): 6 -> 8 additional locations. IAPD ↗
$212.6M RAUM · 24 reps · 800-872-0444 · siebertnxt.com
50
GO WEALTH MANAGEMENT — added office(s): 3 -> 5 additional locations. IAPD ↗
$121.8M RAUM · 7 reps · 541-338-7631 · gowealthgroup.com
50
PGI WEALTH MANAGEMENT — added office(s): 3 -> 4 additional locations. IAPD ↗
$211.1M RAUM · 7 reps · (888) 493-9022
50
PROXY WEALTH ADVISORS LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$132.8M RAUM · 11 reps · 646-289-5075 · proxywealth.com
50
FOURTH DIMENSION WEALTH, LLC — added office(s): 1 -> 3 additional locations. IAPD ↗
$218.6M RAUM · 7 reps · 440-664-4045 · 4d-wealth.com
50
DISCIPLINE WEALTH SOLUTIONS, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$93.0M RAUM · 3 reps · 864-322-6046 · disciplinewealth.com
50
MORALIS TECHNOLOGIES, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$17.2M RAUM · 7 reps · 833-730-3700 · aquinaswealth.com
50
ONEASCENT FAMILY OFFICES — added office(s): 0 -> 2 additional locations. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142
50
FAMILY WEALTH PLANNING PARTNERS — added office(s): 2 -> 3 additional locations. IAPD ↗
$217.8M RAUM · 4 reps · 502-200-5210
50
BROADSTREET GLOBAL ADVISORS, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$102.7M RAUM · 4 reps · 914-427-8036 · broadstreetglobaladvisors.com
50
NECTARINE — added office(s): 1 -> 18 additional locations. IAPD ↗
$0 RAUM · 18 reps · (858) 779-0115 · hellonectarine.com
50
STONEPATH WEALTH MANAGEMENT — added office(s): 4 -> 5 additional locations. IAPD ↗
$178.0M RAUM · 7 reps · (231) 668-6999 · stonepathwm.com
50
IMPACT CAPITAL PARTNERS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 303-886-6186 · impactcapitalpartners.com
50
SALUS FINANCIAL ADVISORS — added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 3 reps · 866-999-1655 · salusfinancialadvisors.com
45
THE ETF STORE, INC. — reported RAUM down 43% ($259.6M -> $147.8M). IAPD ↗
$147.8M RAUM · 8 reps · 877-365-3837
45
GKFO, LLC — reported RAUM down 95% ($612.7M -> $29.1M). IAPD ↗
$29.1M RAUM · 10 reps · 610-341-3900 · gkfo.net
45
TRIUMPH WEALTH ADVISORS, INC. — reported RAUM down 33% ($41.7M -> $28.1M). IAPD ↗
$28.1M RAUM · 4 reps · 770-924-9322 · triumphwealthadvisors.com
45
REVERE WEALTH MANAGEMENT LLC — reported RAUM down 41% ($129.1M -> $76.8M). IAPD ↗
$76.8M RAUM · 5 reps · 212-688-2350 · reveresecurities.com
45
EMERGE CAPITAL MANAGEMENT — reported RAUM down 69% ($368.0M -> $112.8M). IAPD ↗
$112.8M RAUM · 6 reps · 716-970-4512
45
G.P. LEACH SECURITIES LLC — reported RAUM down 100% ($282.9M -> $345,000). IAPD ↗
$345,000 RAUM · 1 reps · (817) 939-9809 · gpleach.com
70
FREESTONE GROVE PARTNERS LP — grew from 17 to 53 advisory reps. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
66
NORTHCREST ASSET MANAGEMENT — grew from 0 to 6 advisory reps. IAPD ↗institutional
$3.15B RAUM · 6 reps · 763-417-1700
64
CAPITOLIS ADVISORS LLC — grew from 20 to 29 advisory reps. IAPD ↗institutional
$30.0M RAUM · 29 reps · 212-388-5204
63
FOW PARTNERS, LP — grew from 2 to 12 advisory reps. IAPD ↗fund
$612.0M RAUM · 12 reps · 207-210-0022 · fowpartners.com
55
SAND GROVE CAPITAL MANAGEMENT — (NEW YORK, NY) left the SEC roster (was $3.02B RAUM, 1 reps). IAPD ↗institutional
$3.02B RAUM · 1 reps · 646-751-8318 · sandgrovecapital.com
55
BLACKROCK INTERNATIONAL LIMITED — grew from 12 to 27 advisory reps. IAPD ↗foreign
$48.14B RAUM · 27 reps · 44 131 4727200
55
FAIRBRIDGE ASSET MANAGEMENT LLC — grew from 6 to 8 advisory reps. IAPD ↗fund
$348.6M RAUM · 8 reps · 475-259-0089
55
PINEGROVE CAPITAL PARTNERS LLC — grew from 5 to 7 advisory reps. IAPD ↗fund
$804.1M RAUM · 7 reps · 626-676-0710 · pinegrovecp.com
53
THE PATTERSON CAPITAL CORPORATION — (LOS ANGELES, CA) left the SEC roster (was $978.4M RAUM, 3 reps). IAPD ↗institutional
$978.4M RAUM · 3 reps · 310-556-2496 · pattersoncapital.com
50
GSAM STABLE VALUE, LLC — (BURLINGTON, VT) left the SEC roster (was $55.40B RAUM, 6 reps). IAPD ↗fund
$55.40B RAUM · 6 reps · 212-902-1000 · gsam.com
50
UBS OCONNOR LLC — (CHICAGO, IL) left the SEC roster (was $13.77B RAUM, 58 reps). IAPD ↗fund
$13.77B RAUM · 58 reps · 312-525-6000 · ubs.com
50
STEWART ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $19.0M RAUM, 0 reps). IAPD ↗institutional
$19.0M RAUM · 0 reps · 212-759-7551 · stewartassetmgmt.com
50
SUMMIT VIEW CAPITAL ADVISORS — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 720-608-1211 · sumstrat.com
50
HENNII INVESTMENT ADVISORY SERVICES — (location n/a) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-683-8907 · hennii.com
50
SPRING GROWTH PARTNERS LLC — (location n/a) left the SEC roster (was $85.0M RAUM, 1 reps). IAPD ↗institutional
$85.0M RAUM · 1 reps · 240-460-4674
50
FOREST HILL STRATEGIC VALUE ADVISERS, LLC — (LITTLE ROCK, AR) left the SEC roster (was $119.9M RAUM, 4 reps). IAPD ↗institutional
$119.9M RAUM · 4 reps · 501-663-4491 · foresthillcap.com
50
AGNC INVESTMENT MANAGEMENT, LLC — (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 9 reps). IAPD ↗institutional
$0 RAUM · 9 reps · 301-968-9315
50
FLEXPAC, LLC — (SOLANA BEACH, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 917-746-9356
48
AUTONOMY CAPITAL — (location n/a) left the SEC roster (was $701.3M RAUM, 1 reps). IAPD ↗fund
$701.3M RAUM · 1 reps · 212-796-1900
45
LUMINA FUND MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $7.0M RAUM, 2 reps). IAPD ↗fund
$7.0M RAUM · 2 reps · 212-918-4645 · luminafund.com
45
TPB WEALTH ADVISORS, LLC — (SAN ANTONIO, TX) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗fund
$0 RAUM · 0 reps · 210-424-8710 · tpbwealthadvisors.com
45
FINANCE OF AMERICA CAPITAL MANAGEMENT LLC — (ST. PAUL, MN) left the SEC roster (was $500,000 RAUM, 0 reps). IAPD ↗fund
$500,000 RAUM · 0 reps · (651) 412-2042
45
ANQUA MANAGEMENT LLC — (location n/a) left the SEC roster (was $211.3M RAUM, 4 reps). IAPD ↗fund
$211.3M RAUM · 4 reps · 212-808-7423
45
JUPITER ASSET MANAGEMENT US LLC — (DENVER, CO) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗fund
$20.9M RAUM · 1 reps · 1 720 2551933
45
VESPERMARE CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $119.9M RAUM, 3 reps). IAPD ↗fund
$119.9M RAUM · 3 reps · 646-201-5920
45
COLLECTIVE RETIREMENT SOLUTIONS LLC — (BRYN MAWR, PA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · (610) 639-6333 · collectiveretire.com
45
PACIFIC FINANCIAL GROUP, LLC — shrank from 8 to 0 advisory reps. IAPD ↗institutional
$3.09B RAUM · 0 reps · 4254517722 · tpfg.com
45
PIPER SANDLER & CO. — added office(s): 6 -> 7 additional locations. IAPD ↗institutional
$1.58B RAUM · 24 reps · 612-303-6000 · pipersandler.com
40
OLD IRONSIDES ENERGY, LLC — shrank from 8 to 6 advisory reps. IAPD ↗fund
$1.42B RAUM · 6 reps · 617-366-2030 · oldironsidesenergy.com
40
TSPI, LP — shrank from 30 to 13 advisory reps. IAPD ↗fund
$2.38B RAUM · 13 reps · (212) 625-5700
40
BALYASNY ASSET MANAGEMENT L.P. — added office(s): 25 -> 27 additional locations. IAPD ↗fund
$248.04B RAUM · 814 reps · 312-499-2999 · corbetscap.com
40
KURV INVESTMENT MANAGEMENT LLC — added office(s): 0 -> 3 additional locations. IAPD ↗institutional
$3.8M RAUM · 1 reps · 888-393-5878 · kurvinvest.com
40
FREESTONE GROVE PARTNERS LP — added office(s): 3 -> 5 additional locations. IAPD ↗fund
$5.99B RAUM · 53 reps · 4159074024 · fgrovep.com
39
BG INVESTMENT SERVICES, INC. — grew from 1 to 5 advisory reps. IAPD ↗foreign
$186.2M RAUM · 5 reps · 671-472-5490
38
CONSILIUM INVESTMENT MANAGEMENT LLC — shrank from 4 to 1 advisory reps. IAPD ↗fund
$472.3M RAUM · 1 reps · 954-315-9380
38
NEWPORT INVESTMENT MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$473.5M RAUM · 15 reps · 312-724-7031
38
RDST CAPITAL LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$548.1M RAUM · 3 reps · 206.332.1227 · readestreet.com
38
FIFTH PARTNERS MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$288.9M RAUM · 15 reps · 214-492-5863 · archenergypartners.com
35
GAVEKAL CAPITAL LIMITED — (WAN CHAI, Hong Kong) left the SEC roster (was $1.06B RAUM, 7 reps). IAPD ↗foreign
$1.06B RAUM · 7 reps · 852-2869-8363 · gavekal-capital.com
35
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC — shrank from 20 to 6 advisory reps. IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
35
JLP ASSET MANAGEMENT, LLC — shrank from 9 to 5 advisory reps. IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
35
DELTA CAPITAL PARTNERS MANAGEMENT LLC — added office(s): 3 -> 4 additional locations. IAPD ↗fund
$85.0M RAUM · 5 reps · 312-414-0859
33
SUMMER STREET CAPITAL PARTNERS, LLC — reported RAUM down 56% ($586.1M -> $255.1M). IAPD ↗fund
$255.1M RAUM · 5 reps · 716-566-2900 · summerstreetcapital.com
33
DISRUPTIVE TECHNOLOGY ADVISERS LLC — reported RAUM down 28% ($959.2M -> $690.2M). IAPD ↗fund
$690.2M RAUM · 10 reps · (424) 205-6850 · disruptive.tech
30
WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC — reported RAUM down 97% ($5.50B -> $190.8M). IAPD ↗fund
$190.8M RAUM · 6 reps · 757-623-3676 · wstcm.com
30
THAYER GP VI LLC — reported RAUM down 73% ($202.2M -> $55.1M). IAPD ↗fund
$55.1M RAUM · 4 reps · 212-417-7000
30
JLP ASSET MANAGEMENT, LLC — reported RAUM down 48% ($409.9M -> $212.1M). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
30
NORBURY PARTNERS LP — reported RAUM down 40% ($123.1M -> $73.8M). IAPD ↗fund
$73.8M RAUM · 3 reps · 646-460-4601 · norburypartners.com
25
NICOLA WEALTH MANAGEMENT LTD. — added office(s): 5 -> 6 additional locations. IAPD ↗foreign
$9.59B RAUM · 187 reps · 604-739-6450
25
360 ONE PORTFOLIO MANAGERS LIMITED — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$3.30B RAUM · 2 reps · +91 22 4876 5600
20
FIL INVESTMENTS (JAPAN) LIMITED — shrank from 52 to 39 advisory reps. IAPD ↗foreign
$0 RAUM · 39 reps · 00813-4560-6000

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.