← Tributary

Recruiting & transitions — June 2024

Recruiters, transition consultants, and firms hiring advisors.

202 firms opened this window in the June 2024 SEC roster: 111 new office, 50 deregistered, 19 headcount up, 12 headcount down, 10 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
UBS ASSET MANAGEMENT (AMERICAS) LLC — grew from 216 to 411 advisory reps. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
85
BLACKROCK INVESTMENT MANAGEMENT, LLC — grew from 0 to 536 advisory reps. IAPD ↗
$458.19B RAUM · 536 reps · 609 282 2000 · douyin.com
85
KOVITZ INVESTMENT GROUP PARTNERS, LLC — grew from 74 to 99 advisory reps. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
75
SEGALL BRYANT & HAMILL — grew from 46 to 51 advisory reps. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
74
STONEBRIDGE FINANCIAL GROUP, LLC — grew from 13 to 17 advisory reps. IAPD ↗
$1.58B RAUM · 17 reps · 717-736-7007
70
PETERSON WEALTH SERVICES INC. — grew from 3 to 5 advisory reps. IAPD ↗
$394.0M RAUM · 5 reps · 801-475-4002
70
TC43 LLC — grew from 1 to 6 advisory reps. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
68
SUPREME ALLIANCE LLC — grew from 10 to 13 advisory reps. IAPD ↗
$11.1M RAUM · 13 reps · 561-460-2870 · supremealliancellc.com
68
BOSUN ASSET MANAGEMENT, LLC — grew from 5 to 8 advisory reps. IAPD ↗
$247.6M RAUM · 8 reps · 707-402-9922 · bosunam.com
68
BULMAN WEALTH GROUP — grew from 2 to 5 advisory reps. IAPD ↗
$148.2M RAUM · 5 reps · 916-458-8199 · bulmanwealth.com
67
THE PROSPERITY PEOPLE — grew from 1 to 3 advisory reps. IAPD ↗
$127.1M RAUM · 3 reps · 859-331-7755 · theprosperitypeople.com
67
TRU INDEPENDENCE ASSET MANAGEMENT 2 — grew from 2 to 4 advisory reps. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
67
SEVENTWO, LLC — grew from 3 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · (617) 800-0388
67
GATEPASS CAPITAL, LLC — grew from 1 to 3 advisory reps. IAPD ↗
$103.2M RAUM · 3 reps · 833-428-3727 · gatepass.capital
65
CREDIT SUISSE ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $59.89B RAUM, 64 reps). IAPD ↗
$59.89B RAUM · 64 reps · 212-325-2000 · credit-suisse.com
65
ML&R WEALTH MANAGEMENT LLC — (AUSTIN, TX) left the SEC roster (was $1.79B RAUM, 8 reps). IAPD ↗
$1.79B RAUM · 8 reps · 512-275-2700
65
ZCM — (CHICAGO, IL) left the SEC roster (was $6.61B RAUM, 28 reps). IAPD ↗
$6.61B RAUM · 28 reps · 312-368-1442
63
HARBOR FINANCIAL GROUP, INC. — (BOULDER, CO) left the SEC roster (was $316.4M RAUM, 3 reps). IAPD ↗
$316.4M RAUM · 3 reps · 303-939-8788
63
SOUNDMARK WEALTH MANAGEMENT, LLC — (KIRKLAND, WA) left the SEC roster (was $411.0M RAUM, 5 reps). IAPD ↗
$411.0M RAUM · 5 reps · 425-820-1769
63
CLEARLOGIC FINANCIAL, INC. — (RESTON, VA) left the SEC roster (was $425.2M RAUM, 6 reps). IAPD ↗
$425.2M RAUM · 6 reps · 703-476-3521 · clearlogicfinancial.com
63
FULLEN FINANCIAL GROUP, INC. — (COLUMBUS, OH) left the SEC roster (was $282.0M RAUM, 4 reps). IAPD ↗
$282.0M RAUM · 4 reps · 614-372-5430 · fullenfinancial.com
63
EFP ADVISORS — (JACKSON, MS) left the SEC roster (was $282.8M RAUM, 3 reps). IAPD ↗
$282.8M RAUM · 3 reps · 601-206-0006
63
3D/L CAPITAL MANAGEMENT, LLC — (HARTFORD, CT) left the SEC roster (was $574.1M RAUM, 10 reps). IAPD ↗
$574.1M RAUM · 10 reps · 860-291-1998 · sterlinggroupat3d.com
60
BASE MANAGEMENT CO — (TOWSON, MD) left the SEC roster (was $79.6M RAUM, 1 reps). IAPD ↗
$79.6M RAUM · 1 reps · 410-583-4828 · basemanagement.com
60
LEE FINANCIAL GROUP HAWAII, INC. — (HONOLULU, HI) left the SEC roster (was $226.3M RAUM, 7 reps). IAPD ↗
$226.3M RAUM · 7 reps · 808-988-8088 · leehawaii.com
60
SUNBRIDGE MANAGEMENT, INC. — (AMHERST, NY) left the SEC roster (was $34.0M RAUM, 1 reps). IAPD ↗
$34.0M RAUM · 1 reps · 716-626-0307 · sunbridge.biz
60
SYMPHONIC FINANCIAL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $125.2M RAUM, 4 reps). IAPD ↗
$125.2M RAUM · 4 reps · 212-702-3500
60
WEALTH LEGACY INSTITUTE, INC. — (DENVER, CO) left the SEC roster (was $197.4M RAUM, 3 reps). IAPD ↗
$197.4M RAUM · 3 reps · 303-753-7578 · wealthlegacyinstitute.com
60
EQUISTAR WEALTH MANAGEMENT LLC — (AUSTIN, TX) left the SEC roster (was $165.6M RAUM, 2 reps). IAPD ↗
$165.6M RAUM · 2 reps · 512-250-2277 · eswealth.com
60
KOBO RETIREMENT STRATEGIES — (PASADENA, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 626-578-0816 · krsfiduciary.com
60
NEXUS CAPITAL, LLC — (PITTSFORD, NY) left the SEC roster (was $11.9M RAUM, 1 reps). IAPD ↗
$11.9M RAUM · 1 reps · 585-348-9090 · nexuscapitalco.com
60
FISHER FINANCIAL ADVISORS LLC — (HANOVER, NH) left the SEC roster (was $180.0M RAUM, 2 reps). IAPD ↗
$180.0M RAUM · 2 reps · 603-643-4448 · fisherfinancialadvisors.com
60
WEST POTOMAC CAPITAL LLC — (ARLINGTON, VA) left the SEC roster (was $5.3M RAUM, 3 reps). IAPD ↗
$5.3M RAUM · 3 reps · 703-850-5533 · westpotomaccap.com
60
XIGGIT FINANCIAL — (PALO ALTO, CA) left the SEC roster (was $58,000 RAUM, 1 reps). IAPD ↗
$58,000 RAUM · 1 reps · 650-417-5980 · xiggitfinancial.com
60
MEDICI — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 516-721-1580 · medici.ai
60
SPIKE INVEST — (TYSONS, VA) left the SEC roster (was $25,000 RAUM, 1 reps). IAPD ↗
$25,000 RAUM · 1 reps · 646-684-7449
60
DAVID KEMP BATTLE CORP. — (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 · 828-335-7495 · xdiversify.wpcomstaging.com
60
VAMA OAK WEALTH, LLC — (NEWTOWN, PA) left the SEC roster — its 120-day provisional registration did not convert (was $37.1M RAUM, 2 reps). IAPD ↗
$37.1M RAUM · 2 reps · 215-809-2011
60
KMT WEALTH MANAGEMENT, LLC — (EL SEGUNDO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 773-895-8962 · kmtwealth.com
55
ZACKS INVESTMENT MANAGEMENT, INC. — shrank from 15 to 11 advisory reps. IAPD ↗
$10.56B RAUM · 11 reps · 312-265-9266 · zacksandassociates.com
55
&PARTNERS — added office(s): 20 -> 29 additional locations. IAPD ↗
$1.17B RAUM · 87 reps · 615-255-6431 · prairieheritagefinancial.com
55
SEGALL BRYANT & HAMILL — added office(s): 4 -> 6 additional locations. IAPD ↗
$17.21B RAUM · 51 reps · 1-800-836-4265
55
UBS ASSET MANAGEMENT (AMERICAS) LLC — added office(s): 4 -> 15 additional locations. IAPD ↗
$477.86B RAUM · 411 reps · 212-821-3000 · ubs.com
55
BRADLEY FOSTER & SARGENT INC — added office(s): 5 -> 6 additional locations. IAPD ↗
$6.85B RAUM · 17 reps · 860-527-8050 · bfsinvest.com
55
SUNCOAST EQUITY MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$1.36B RAUM · 11 reps · (813) 963-0502
55
GEMMER ASSET MANAGEMENT LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$1.70B RAUM · 8 reps · 925-933-3786 · thejdinvestor.com
55
GRIMES & COMPANY, INC. — added office(s): 17 -> 19 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
55
CAIN, WATTERS & ASSOCIATES, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$3.54B RAUM · 63 reps · 972-233-3323
55
EIDE BAILLY ADVISORS, LLC — added office(s): 11 -> 12 additional locations. IAPD ↗
$1.33B RAUM · 17 reps · 866-740-4100 · eidebaillywealth.com
55
STRAIGHTLINE — added office(s): 2 -> 3 additional locations. IAPD ↗
$1.12B RAUM · 9 reps · 248-269-8366 · straightline.com
55
ESSEX FINANCIAL SERVICES, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$3.38B RAUM · 39 reps · 860-767-4300 · essexfinancialservices.net
55
SRS CAPITAL ADVISORS, INC. — added office(s): 5 -> 6 additional locations. IAPD ↗
$1.44B RAUM · 17 reps · 303-633-5900 · simondavisinc.com
55
EVERMAY WEALTH MANAGEMENT, LLC — added office(s): 6 -> 7 additional locations. IAPD ↗
$1.06B RAUM · 12 reps · 703 822-5696
55
ASHTON THOMAS PRIVATE WEALTH — added office(s): 20 -> 22 additional locations. IAPD ↗
$2.89B RAUM · 47 reps · 602-732-4745
55
CGN ADVISORS, LLC — added office(s): 44 -> 45 additional locations. IAPD ↗
$1.14B RAUM · 41 reps · 910-333-6659 · dekfinancialsolutions.com
55
BISON WEALTH, LLC — added office(s): 23 -> 25 additional locations. IAPD ↗
$1.61B RAUM · 34 reps · 404-841-2224 · bisonwealth.com
55
MCADAM LLC — added office(s): 66 -> 67 additional locations. IAPD ↗
$1.74B RAUM · 156 reps · (888) 614-5323 · mcadamfa.com
55
SPIDERROCK ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$4.85B RAUM · 10 reps · (312) 847-0300 · spiderrockadvisors.com
55
KOVITZ INVESTMENT GROUP PARTNERS, LLC — added office(s): 15 -> 25 additional locations. IAPD ↗
$11.29B RAUM · 99 reps · 312-334-7300 · kovitz.com
55
ONESEVEN — added office(s): 30 -> 38 additional locations. IAPD ↗
$2.57B RAUM · 48 reps · 216-865-1700
55
ONEASCENT FINANCIAL SERVICES LLC — added office(s): 26 -> 27 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · zahoranski.oneascent.com
55
ETON ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.96B RAUM · 5 reps · 919-442-1550
55
AMERICANA PARTNERS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$4.95B RAUM · 25 reps · 713-429-5552 · americanapartners.com
55
HAYS FINANCIAL GROUP, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$5.10B RAUM · 4 reps · (612) 373-9863
55
NEW REPUBLIC PARTNERS — added office(s): 4 -> 6 additional locations. IAPD ↗
$2.29B RAUM · 17 reps · 704-626-1526 · newrepublicpartners.com
55
ARMSTRONG ADVISORY GROUP INC. — added office(s): 9 -> 11 additional locations. IAPD ↗
$1.22B RAUM · 10 reps · (781) 433-0001 · armstrongadvisory.com
55
SAPIENT CAPITAL LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$9.85B RAUM · 19 reps · (317) 719-0157 · sapientcapital.com
55
MIDLAND WEALTH MANAGEMENT — added office(s): 4 -> 6 additional locations. IAPD ↗
$2.53B RAUM · 16 reps · 312-660-6516
53
MWM GROUP LLC — shrank from 5 to 1 advisory reps. IAPD ↗
$306.3M RAUM · 1 reps · 718-696-4000
53
TRU INDEPENDENCE ASSET MANAGEMENT, LLC — shrank from 9 to 7 advisory reps. IAPD ↗
$557.2M RAUM · 7 reps · (971) 371-3444 · yellowwoodwealth.com
53
TACTIVE ADVISORS, LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$405.8M RAUM · 1 reps · 855-282-2848 · pcliftonfinancial.com
53
WILLIAM MACK & ASSOCIATES INC — added office(s): 24 -> 25 additional locations. IAPD ↗
$754.8M RAUM · 7 reps · 248-643-4310 · wmack.com
53
THE L. WARNER COMPANIES, INC — added office(s): 2 -> 3 additional locations. IAPD ↗
$657.4M RAUM · 12 reps · 410-252-0808 · lwarner.com
53
MARINER INSTITUTIONAL, LLC — added office(s): 6 -> 7 additional locations. IAPD ↗
$976.6M RAUM · 89 reps · 844-442-6326
53
IMA ADVISORY SERVICES, INC. — added office(s): 3 -> 4 additional locations. IAPD ↗
$911.6M RAUM · 19 reps · 316-266-6574
53
FINANCIAL & TAX ARCHITECTS, LLC — added office(s): 16 -> 17 additional locations. IAPD ↗
$378.9M RAUM · 23 reps · 314-858-1122 · knoxvilleretirementplanner.com
53
INTERACTIVE FINANCIAL ADVISORS — added office(s): 20 -> 21 additional locations. IAPD ↗
$284.9M RAUM · 36 reps · 630-472-1300
53
PARK PIEDMONT ADVISORS LLC — added office(s): 6 -> 7 additional locations. IAPD ↗
$862.0M RAUM · 7 reps · 312-722-6760
53
ARISTA WEALTH MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$621.2M RAUM · 7 reps · 702-309-9970 · aristawealth.com
53
SECURE ASSET MANAGEMENT, L.L.C. — added office(s): 14 -> 17 additional locations. IAPD ↗
$599.6M RAUM · 46 reps · 248-414-1562 · re-transition.com
53
AVIANCE CAPITAL PARTNERS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$632.3M RAUM · 6 reps · 239-598-4747
53
LIFESTYLE ASSET MANAGEMENT, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$382.0M RAUM · 13 reps · 281-612-2035
53
INVESTOR FAN — added office(s): 7 -> 8 additional locations. IAPD ↗
$255.4M RAUM · 7 reps · 425-372-7517 · thewaytoinvest.com
53
FSA INVESTMENT GROUP, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$598.2M RAUM · 8 reps · (850) 696-1550
53
MBE WEALTH MANAGEMENT, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$725.5M RAUM · 8 reps · 608-372-5521 · mbewealth.com
53
THE RETIREMENT GUYS FORMULA — added office(s): 5 -> 6 additional locations. IAPD ↗
$250.1M RAUM · 12 reps · 419-842-0550 · retirepittsburgh.com
53
ASTOR INVESTMENT MANAGEMENT LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$261.4M RAUM · 3 reps · 312-228-5900
53
MPWM ADVISORY SOLUTIONS LLC — added office(s): 7 -> 8 additional locations. IAPD ↗
$315.7M RAUM · 12 reps · 678-566-4001
53
BLUEPRINT INVESTMENT PARTNERS LLC — added office(s): 7 -> 8 additional locations. IAPD ↗
$849.4M RAUM · 7 reps · 336-609-7522
53
GOLDSTONE FINANCIAL GROUP, LLC — added office(s): 9 -> 14 additional locations. IAPD ↗
$557.2M RAUM · 10 reps · 630-620-9300 · pinterest.com
53
BRIGHT FUTURES WEALTH MANAGEMENT, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$388.4M RAUM · 21 reps · (585) 231-1595
53
FIDUCIARY FINANCIAL GROUP, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$544.6M RAUM · 7 reps · 415-352-1100
53
TCP ASSET MANAGEMENT, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$641.8M RAUM · 16 reps · 614-761-9378 · tcpasset.com
53
LIFEWORKS ADVISORS, LLC — added office(s): 17 -> 22 additional locations. IAPD ↗
$421.8M RAUM · 24 reps · (616) 200-6512
53
SANDBOX FINANCIAL PARTNERS, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$463.7M RAUM · 5 reps · (301) 214-4190 · sandboxfp.com
53
CROWN WEALTH GROUP LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$257.2M RAUM · 7 reps · (704)360-3995 · crownwealthgroup.com
53
COREPATH WEALTH PARTNERS LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$348.2M RAUM · 6 reps · (480) 448-0334 · corepathwealthpartners.com
53
CREEKMUR ASSET MANAGEMENT, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$410.6M RAUM · 10 reps · 309-925-2043
53
TRANSCE3ND LLC — added office(s): 10 -> 11 additional locations. IAPD ↗
$313.2M RAUM · 28 reps · 512-268-9220 · transcendim.com
53
49 FINANCIAL — added office(s): 7 -> 8 additional locations. IAPD ↗
$566.2M RAUM · 74 reps · 214-563-1190
53
FREEDOM FIDUCIARIES LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$263.8M RAUM · 3 reps · 208-900-4331
53
THE NORDEN GROUP LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$987.2M RAUM · 12 reps · 801-331-5511 · thenordengroup.com
53
VICTORY FINANCIAL — added office(s): 5 -> 6 additional locations. IAPD ↗
$288.8M RAUM · 12 reps · (512) 763-7671 · victoryfinancialgroup.com
50
CARDINAL CAPITAL MANAGEMENT, L.L.C. — reported RAUM down 35% ($2.27B -> $1.47B). IAPD ↗
$1.47B RAUM · 7 reps · 203-863-8990 · cardcap.com
50
MUTUAL TRUST ASSET MGMT., INC. — shrank from 12 to 9 advisory reps. IAPD ↗
$241.4M RAUM · 9 reps · 727-799-9922
50
OPUS FINANCIAL SOLUTIONS LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$151.1M RAUM · 2 reps · 331-777-5449
50
CROSS BORDER WEALTH, LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$100.0M RAUM · 5 reps · 646-688-5333 · crossborder-wealth.com
50
CAPITOL FAMILY OFFICE, INC. — shrank from 4 to 2 advisory reps. IAPD ↗
$134.1M RAUM · 2 reps · (503) 897-0236 · capitolcfo.com
50
COOPER FINANCIAL SERVICES, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$170.5M RAUM · 4 reps · 203-248-1972 · cooperfinservices.com
50
MINERVA PLANNING GROUP — added office(s): 0 -> 1 additional locations. IAPD ↗
$160.6M RAUM · 2 reps · 404-816-6688
50
FRANGO FINANCIAL — added office(s): 0 -> 1 additional locations. IAPD ↗
$111.5M RAUM · 2 reps · 202-244-4460 · frangofinancial.com
50
ELEVAGE PARTNERS, LLC — added office(s): 2 -> 6 additional locations. IAPD ↗
$143.8M RAUM · 5 reps · (800) 725-1622 · elevagepartners.com
50
RUTHERFORD INVESTMENT MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$173.4M RAUM · 4 reps · 503-452-1210 · rutherfordinvestment.com
50
KOTYS WEALTH PROFESSIONALS — added office(s): 0 -> 1 additional locations. IAPD ↗
$223.4M RAUM · 4 reps · 219-465-6924
50
INTEGRAS PARTNERS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$201.9M RAUM · 3 reps · 404-941-2800 · integraspartners.com
50
WRENNE FINANCIAL PLANNING LLC — added office(s): 0 -> 5 additional locations. IAPD ↗
$139.9M RAUM · 6 reps · 859-538-6044
50
PROTA FINANCIAL — added office(s): 18 -> 19 additional locations. IAPD ↗
$182.0M RAUM · 12 reps · 713-568-8171
50
STANCE CAPITAL LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$186.8M RAUM · 2 reps · 617-875-1062
50
COLARION — added office(s): 0 -> 1 additional locations. IAPD ↗
$125.9M RAUM · 4 reps · 205 410 9443
50
SMITH & WYATT — added office(s): 4 -> 6 additional locations. IAPD ↗
$119.8M RAUM · 6 reps · 979-431-5440
50
ROLEK RETIREMENT PLANNING — added office(s): 1 -> 2 additional locations. IAPD ↗
$127.0M RAUM · 1 reps · (267) 427-5667
50
THINKING BIG FINANCIAL — added office(s): 0 -> 1 additional locations. IAPD ↗
$60.1M RAUM · 2 reps · (973) 224-1145
50
WILDES FINANCIAL STRATEGIES, INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$105.4M RAUM · 2 reps · 843-485-4371
50
SUCCESS WEALTH MANAGEMENT LLC — added office(s): 11 -> 12 additional locations. IAPD ↗
$40.1M RAUM · 12 reps · 724-934-8128
50
MARKLE FINANCIAL LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$97.3M RAUM · 2 reps · (307) 721-1725 · marklefinancial.com
50
STONEKEEP INVESTMENTS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$137.8M RAUM · 2 reps · 615-975-3635 · stonekeepinvestments.com
50
KUHN & COMPANY INVESTMENT COUNSEL, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$131.2M RAUM · 3 reps · 630-416-7700
50
TRU INDEPENDENCE ASSET MANAGEMENT 2 — added office(s): 2 -> 4 additional locations. IAPD ↗
$117.2M RAUM · 4 reps · 971-371-3444 · relywealth.us
50
ASSUREDPARTNERS INVESTMENT ADVISORS — added office(s): 8 -> 12 additional locations. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050 · apadvisors.com
50
ALPHA OMEGA FINANCIAL — added office(s): 0 -> 2 additional locations. IAPD ↗
$139.3M RAUM · 1 reps · 410-592-8936
50
BLUEPRINT FINANCIAL ADVISORS — added office(s): 11 -> 12 additional locations. IAPD ↗
$132.5M RAUM · 14 reps · 336-609-7522 · buildyourblueprint.com
50
STEWARD ADVISORS GROUP, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$35.5M RAUM · 6 reps · (888) 225-3350 · stewardadvisorsgroup.com
50
MARIDEA WEALTH MANAGEMENT — added office(s): 3 -> 4 additional locations. IAPD ↗
$0 RAUM · 4 reps · 269-598-0939 · marideawealth.com
50
SLP WEALTH — added office(s): 14 -> 15 additional locations. IAPD ↗
$9.0M RAUM · 16 reps · (910) 315-0973 · slpwealth.com
50
ACCELERATE RETIREMENT — added office(s): 8 -> 10 additional locations. IAPD ↗
$104.0M RAUM · 18 reps · 888-439-7071
50
QUANTUM GREEKS — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 9166048060 · quantumtrades.com
50
NECTARINE — added office(s): 18 -> 19 additional locations. IAPD ↗
$0 RAUM · 19 reps · (858) 779-0115
50
BLACKWATCH FINANCIAL GROUP, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 630-380-9430
50
AZURA PARTNERS US LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$25.0M RAUM · 2 reps · 347-249-2369 · azura.com
50
MINDORO CAPITAL PARTNERS LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$0 RAUM · 3 reps · (617) 214-2313 · mindoro.com
50
TC43 LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$66.7M RAUM · 6 reps · 917-363-7217
50
WEALTHCARE CAPITAL PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 804.644.4711
45
INNOVIS ASSET MANAGEMENT LLC — reported RAUM down 99% ($345.8M -> $1.8M). IAPD ↗
$1.8M RAUM · 1 reps · 858-414-3929
70
MARSHALL WACE NORTH AMERICA L.P. — grew from 60 to 89 advisory reps. IAPD ↗fund
$28.56B RAUM · 89 reps · 212-235-2800
61
MTC WEALTH MANAGEMENT — grew from 3 to 6 advisory reps. IAPD ↗institutional
$313.6M RAUM · 6 reps · 888-727-9191 · mtcwealthmanagement.com
60
ENGINEERS GATE MANAGER LP — grew from 60 to 65 advisory reps. IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
59
TOWN LANE MANAGEMENT LP — grew from 3 to 7 advisory reps. IAPD ↗fund
$1.32B RAUM · 7 reps · 212-404-7904 · townlane.com
55
CIPHER CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $1.30B RAUM, 5 reps). IAPD ↗institutional
$1.30B RAUM · 5 reps · 646-416-6009 · ciphercap.com
55
HIGHCREST CAPITAL, LLC — grew from 8 to 10 advisory reps. IAPD ↗fund
$666.7M RAUM · 10 reps · 830-214-2770 · highcrestcapital.com
53
XANTHOS CAPITAL MANAGEMENT LP — (WELLINGTON, FL) left the SEC roster (was $300.0M RAUM, 4 reps). IAPD ↗institutional
$300.0M RAUM · 4 reps · 561-783-3590 · xanthoscap.com
50
SOCIAL CAPITAL — (MENLO PARK, CA) left the SEC roster (was $1.49B RAUM, 7 reps). IAPD ↗fund
$1.49B RAUM · 7 reps · (650) 521-9007 · socialcapital.com
50
CNL STRATEGIC ASSET MANAGEMENT, LLC — (ORLANDO, FL) left the SEC roster (was $4.4M RAUM, 2 reps). IAPD ↗institutional
$4.4M RAUM · 2 reps · 407-650-1000
50
VATIC INVESTMENTS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 646-202-1494 · vaticlabs.ai
50
SAGOL ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $34.3M RAUM, 1 reps). IAPD ↗institutional
$34.3M RAUM · 1 reps · 8459451208
50
KULTURA CAPITAL MANAGEMENT LP — (PARK CITY, UT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗institutional
$0 RAUM · 5 reps · 858-298-4888 · kulturacap.com
50
VISDOM INVESTMENT GROUP LLC — (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 · (203) 803-7222
50
RESOLUTE MANAGER LP — (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 · 202-223-7394
48
MFP INVESTORS LLC — (NEW YORK, NY) left the SEC roster (was $487.0M RAUM, 4 reps). IAPD ↗fund
$487.0M RAUM · 4 reps · 212 752-7280
48
NARA CAPITAL, LP — (FAIRFIELD, NJ) left the SEC roster (was $419.1M RAUM, 3 reps). IAPD ↗fund
$419.1M RAUM · 3 reps · (212) 256-8470
48
ZENYATTA CAPITAL MANAGEMENT LP — (FAIRFIELD, CT) left the SEC roster (was $295.8M RAUM, 4 reps). IAPD ↗fund
$295.8M RAUM · 4 reps · 203-292-2800 · zenyattacapital.com
45
CENTURY BRIDGE PARTNERS MANAGEMENT, LLC — (DALLAS, TX) left the SEC roster (was $13.0M RAUM, 8 reps). IAPD ↗fund
$13.0M RAUM · 8 reps · 817-437-9760 · centurybridge.com
45
SPEYSIDE FUND ADVISERS LLC — (SOUTHFIELD, MI) left the SEC roster (was $77.6M RAUM, 4 reps). IAPD ↗fund
$77.6M RAUM · 4 reps · 855-233-5695 · speysideequity.com
45
KIG INVESTMENT MANAGEMENT, LLC — (KEY BISCAYNE, FL) left the SEC roster (was $86.5M RAUM, 2 reps). IAPD ↗fund
$86.5M RAUM · 2 reps · 617-938-3443 · kigip.com
45
SOUTH HARBOR MANAGEMENT LLC — (PORTSMOUTH, NH) left the SEC roster (was $55.7M RAUM, 1 reps). IAPD ↗fund
$55.7M RAUM · 1 reps · 603-407-0559
45
NORTH SHIELD CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $53.3M RAUM, 4 reps). IAPD ↗fund
$53.3M RAUM · 4 reps · 917-546-2079
45
NEW HYDE PARK ASSET MANAGEMENT LLC — (WHEATON, IL) left the SEC roster — its 120-day provisional registration did not convert (was $21.8M RAUM, 10 reps). IAPD ↗fund
$21.8M RAUM · 10 reps · 312-375-4903 · nhpaf.com
45
BLKBRD ASSET MANAGEMENT — (GREENWICH, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · -6707
45
IRONSHORE FINANCIAL — added office(s): 0 -> 2 additional locations. IAPD ↗institutional
$1.10B RAUM · 1 reps · 937-872-4015 · ironshorefinancial.com
43
AECOM CAPITAL REAL ESTATE, LLC — shrank from 7 to 1 advisory reps. IAPD ↗institutional
$580.7M RAUM · 1 reps · 213-593-8100
43
SHERBROOKE PARK ADVISERS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$518.7M RAUM · 5 reps · 917-673-2128
40
SAROFIM REALTY ADVISORS LLC — shrank from 6 to 4 advisory reps. IAPD ↗fund
$1.89B RAUM · 4 reps · 713-654-4484 · sraco.com
40
VOLT EQUITY LLC — shrank from 3 to 1 advisory reps. IAPD ↗institutional
$4.8M RAUM · 1 reps · 415-993-8658
40
PLATO'S PHILOSOPHY, LLC — shrank from 5 to 1 advisory reps. IAPD ↗institutional
$39.4M RAUM · 1 reps · 805-888-2384 · stockhack.com
40
LIGHTHOUSE INVESTMENT PARTNERS, LLC — added office(s): 20 -> 21 additional locations. IAPD ↗fund
$55.83B RAUM · 124 reps · 561-741-0820
40
BLUE OWL REAL ESTATE CAPITAL LLC — added office(s): 1 -> 2 additional locations. IAPD ↗fund
$25.06B RAUM · 30 reps · (212) 419-3000 · blueowlproducts.com
40
BOFCAL ASSET MANAGEMENT INC. — added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$184.0M RAUM · 4 reps · (415) 757-2654 · pacwest.com
40
ENGINEERS GATE MANAGER LP — added office(s): 5 -> 6 additional locations. IAPD ↗fund
$10.05B RAUM · 65 reps · 646-757-2800
40
BOFA SECURITIES, INC. — added office(s): 4 -> 5 additional locations. IAPD ↗institutional
$0 RAUM · 314 reps · 646-743-2734 · bankofamerica.com
40
LMR PARTNERS LLC — added office(s): 1 -> 4 additional locations. IAPD ↗fund
$148.50B RAUM · 43 reps · 6468915738 · lmrpartners.com
40
NASSAU ALTERNATIVE INVESTMENTS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.23B RAUM · 5 reps · (646) 630-8376
40
59 NORTH CAPITAL MANAGEMENT, LP — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$2.47B RAUM · 4 reps · (713) 955-4809
40
NAVIGATE 401K, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$132.0M RAUM · 3 reps · 205-224-9502 · navigate401k.com
38
ACACIA PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$461.4M RAUM · 5 reps · 214-973-2373 · acaciapartnersllc.com
38
RDST CAPITAL LLC — added office(s): 1 -> 2 additional locations. IAPD ↗fund
$548.1M RAUM · 4 reps · 206.332.1227 · readestreet.com
35
OBP CAPITAL — reported RAUM down 34% ($117.5M -> $77.4M). IAPD ↗institutional
$77.4M RAUM · 2 reps · 252-984-3808
35
TACTICAL GLOBAL MANAGEMENT LIMITED — (BRISBANE, Australia) left the SEC roster (was $9.15B RAUM, 4 reps). IAPD ↗foreign
$9.15B RAUM · 4 reps · +61 7 3239 2777
35
SOMERSET CAPITAL MANAGEMENT LLP — (LONDON, United Kingdom) left the SEC roster (was $4.24B RAUM, 15 reps). IAPD ↗foreign
$4.24B RAUM · 15 reps · 44 207 259 1300 · somersetcm.com
33
LIJARO ASSET MANAGEMENT — (LONDON, United Kingdom) left the SEC roster (was $801.1M RAUM, 4 reps). IAPD ↗foreign
$801.1M RAUM · 4 reps · +44 207 963 1762 · lijaro.com
30
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. — reported RAUM down 43% ($64.2M -> $36.5M). IAPD ↗fund
$36.5M RAUM · 10 reps · 212-245-0400 · niederhoffer.com
30
HEP PARTNERS LLC — reported RAUM down 32% ($327.4M -> $221.4M). IAPD ↗fund
$221.4M RAUM · 6 reps · 214-615-2300 · hicksholdings.com
30
PRAESIDIAN CAPITAL MANAGEMENT II, LLC — reported RAUM down 27% ($193.9M -> $140.6M). IAPD ↗fund
$140.6M RAUM · 7 reps · 212-520-2600 · praesidian.com
30
NIKKO ASSET MANAGEMENT HONG KONG LIMITED — (HONG KONG, Hong Kong) left the SEC roster (was $35.5M RAUM, 2 reps). IAPD ↗foreign
$35.5M RAUM · 2 reps · -6988 · nikkoam.com.hk
30
TIMESWELL ROBO ADVISORS — (BEIJING, China) left the SEC roster (was $2,166 RAUM, 2 reps). IAPD ↗foreign
$2,166 RAUM · 2 reps · 8610-85900378 · timeswelladvisor.com
30
ORACLE ALPHA INC — (TORONTO, Canada) left the SEC roster (was $172.9M RAUM, 6 reps). IAPD ↗foreign
$172.9M RAUM · 6 reps · 212-537-6299
25
RATHBONES — added office(s): 13 -> 15 additional locations. IAPD ↗foreign
$63.62B RAUM · 528 reps · +44-151 236 6666
23
RESOLUTE GLOBAL PARTNERS, LTD. — added office(s): 1 -> 2 additional locations. IAPD ↗foreign
$317.8M RAUM · 5 reps · 441-599-8308
20
ZADIG ASSET MANAGEMENT S.A. — reported RAUM down 42% ($2.27B -> $1.31B). IAPD ↗foreign
$1.31B RAUM · 2 reps · -8596 · zadigfunds.com
20
SAND GROVE CAPITAL MANAGEMENT LLP — reported RAUM down 29% ($3.59B -> $2.56B). IAPD ↗foreign
$2.56B RAUM · 10 reps · 44 20 3770 8610 · sandgrovecapital.com
20
ATLAS SQUARE PARTNERS(HK) LIMITED — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$184.6M RAUM · 1 reps · 85266097626 · atlas-square.com
20
DRACO EVOLUTION — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$0 RAUM · 1 reps · 949-535-4675
18
NEWGEN ASSET MANAGEMENT LIMITED — reported RAUM down 33% ($781.0M -> $522.6M). IAPD ↗foreign
$522.6M RAUM · 8 reps · 416-941-9112
15
MONTERONE PARTNERS LLP — reported RAUM down 26% ($335.1M -> $246.7M). IAPD ↗foreign
$246.7M RAUM · 4 reps · 44 (0) 203 763 5403 · monteronepartners.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.