← Tributary

Recruiting & transitions — November 2024

Recruiters, transition consultants, and firms hiring advisors.

270 firms opened this window in the November 2024 SEC roster: 109 new office, 108 deregistered, 32 headcount up, 11 aum down, 10 headcount 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
WAVERLY ADVISORS, LLC — grew from 92 to 119 advisory reps. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
85
PROSPERITY - AN EISNERAMPER COMPANY — grew from 31 to 46 advisory reps. IAPD ↗
$2.91B RAUM · 46 reps · 410-363-7211 · prosperityconsult.com
85
FIRST COMMAND ADVISORY SERVICES — grew from 1050 to 1155 advisory reps. IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
85
THE BALDWIN GROUP WEALTH ADVISORS, LLC — grew from 17 to 43 advisory reps. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
81
FORTIS CAPITAL ADVISORS, LLC — grew from 24 to 37 advisory reps. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
79
WEALTHFRONT ADVISERS LLC — grew from 11 to 20 advisory reps. IAPD ↗
$35.92B RAUM · 20 reps · 855-695-8437 · wealthfront.com
75
THE CAPROCK GROUP, LLC — grew from 30 to 35 advisory reps. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
75
A&M PRIVATE WEALTH PARTNERS, LLC — grew from 1 to 11 advisory reps. IAPD ↗
$103.2M RAUM · 11 reps · 561-437-6738
74
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC — grew from 17 to 21 advisory reps. IAPD ↗
$4.02B RAUM · 21 reps · 317-975-5033
74
VESTGEN ADVISORS, LLC — grew from 7 to 13 advisory reps. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
73
SPC FINANCIAL INC — grew from 14 to 17 advisory reps. IAPD ↗
$1.16B RAUM · 17 reps · 301-770-6800 · spcfinancial.com
71
DISCIPLINE WEALTH SOLUTIONS, INC. — grew from 8 to 14 advisory reps. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
71
BBVA GLOBAL WEALTH ADVISORS, INC. — grew from 14 to 17 advisory reps. IAPD ↗
$399.0M RAUM · 17 reps · 3052057752 · bbvaglobalwealthadvisors.com
70
INTEGRATED INVESTMENT CONSULTANTS, LLC — grew from 7 to 9 advisory reps. IAPD ↗
$720.8M RAUM · 9 reps · 866-433-3581
70
ALTA WEALTH ADVISORS LLC — grew from 6 to 8 advisory reps. IAPD ↗
$400.2M RAUM · 8 reps · 781-404-6909 · altawealthadvisors.com
70
SMITH THORNTON ADVISORS, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$735.4M RAUM · 6 reps · 256-715-7715 · smiththornton.com
70
FORTITUDE FAMILY OFFICE — grew from 9 to 11 advisory reps. IAPD ↗
$640.9M RAUM · 11 reps · (602) 834-0089
70
ZERO DAY CAPITAL ENTERPRISES LLC — grew from 1 to 6 advisory reps. IAPD ↗
$34.0M RAUM · 6 reps · 702 271 3265
68
PLATO'S PHILOSOPHY, LLC — grew from 1 to 4 advisory reps. IAPD ↗
$40.2M RAUM · 4 reps · 805-888-2024 · stockhack.com
67
QUINT INVESTMENTS AND INSURANCE — grew from 6 to 8 advisory reps. IAPD ↗
$56.0M RAUM · 8 reps · 845-345-3628 · quintii.com
67
CANDIDE GROUP — grew from 5 to 7 advisory reps. IAPD ↗
$212.4M RAUM · 7 reps · (510)761-8151
67
APFORIA — grew from 6 to 8 advisory reps. IAPD ↗
$73.7M RAUM · 8 reps · 757-407-4189 · myciwm.com
67
FORONJY FINANCIAL — grew from 2 to 4 advisory reps. IAPD ↗
$0 RAUM · 4 reps · 805-543-1033 · foronjyfinancial.com
65
GEORGE MCKELVEY CO., LLC — (MANASQUAN, NJ) left the SEC roster (was $1.05B RAUM, 9 reps). IAPD ↗
$1.05B RAUM · 9 reps · 732-449-5323 · georgemckelvey.com
65
ROOSEVELT INVESTMENTS — (NEW YORK, NY) left the SEC roster (was $2.69B RAUM, 6 reps). IAPD ↗
$2.69B RAUM · 6 reps · 646-452-6700 · rooseveltinvestments.com
65
HALPERN FINANCIAL, INC. — (ASHBURN, VA) left the SEC roster (was $1.10B RAUM, 7 reps). IAPD ↗
$1.10B RAUM · 7 reps · 240.268.1000
65
AMERICAN PORTFOLIOS ADVISORS, INC — (HOLBROOK, NY) left the SEC roster (was $13.08B RAUM, 600 reps). IAPD ↗
$13.08B RAUM · 600 reps · 631-439-4600 X156
65
ROCATON INVESTMENT ADVISORS — (NORWALK, CT) left the SEC roster (was $12.98B RAUM, 20 reps). IAPD ↗
$12.98B RAUM · 20 reps · 203-621-1700
65
INDEXIQ ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $10.44B RAUM, 6 reps). IAPD ↗
$10.44B RAUM · 6 reps · (888) 474-7725 · newyorklifeinvestments.com
65
FINTRUST CAPITAL ADVISORS, LLC — (GREENVILLE, SC) left the SEC roster (was $1.74B RAUM, 26 reps). IAPD ↗
$1.74B RAUM · 26 reps · 864-288-2849
65
FORESIGHT WEALTH MANAGEMENT, LLC — (DRAPER, UT) left the SEC roster (was $1.35B RAUM, 21 reps). IAPD ↗
$1.35B RAUM · 21 reps · 801-462-2200 · regentsparkadvisors.com
65
THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC — (BETHESDA, MD) left the SEC roster (was $1.18B RAUM, 17 reps). IAPD ↗
$1.18B RAUM · 17 reps · (301) 214-7666 · capgroupfinancial.com
65
ABBREA CAPITAL, LLC — (GREENBRAE, CA) left the SEC roster (was $1.19B RAUM, 4 reps). IAPD ↗
$1.19B RAUM · 4 reps · (415) 894-0077 · abbrea.com
65
WEALTHSOURCE® — (SAN LUIS OBISPO, CA) left the SEC roster (was $2.12B RAUM, 42 reps). IAPD ↗
$2.12B RAUM · 42 reps · 805-546-1000
63
MARKSTON INTERNATIONAL LLC — (WHITE PLAINS, NY) left the SEC roster (was $861.8M RAUM, 4 reps). IAPD ↗
$861.8M RAUM · 4 reps · 914-761-4700 · markston.com
63
PHILLIPS CAPITAL ADVISORS, INC. — (OKLAHOMA CITY, OK) left the SEC roster (was $588.6M RAUM, 15 reps). IAPD ↗
$588.6M RAUM · 15 reps · 405-943-9433 · phillipsinvestments.com
63
KENSHO CAPITAL LLC — (location n/a) left the SEC roster (was $335.5M RAUM, 1 reps). IAPD ↗
$335.5M RAUM · 1 reps · 510-495-1514 · kenshocapital.net
63
DIVERGENT WEALTH ADVISORS, LLC — (SOUTH JORDAN, UT) left the SEC roster (was $617.4M RAUM, 12 reps). IAPD ↗
$617.4M RAUM · 12 reps · 385-237-4000
63
JOSLIN CAPITAL ADVISORS LLC — (REDMOND, WA) left the SEC roster (was $450.3M RAUM, 3 reps). IAPD ↗
$450.3M RAUM · 3 reps · (425) 688-0555 · joslincapital.com
63
TAYLOR HOFFMAN WEALTH MANAGEMENT, LLC — (RICHMOND, VA) left the SEC roster (was $304.3M RAUM, 4 reps). IAPD ↗
$304.3M RAUM · 4 reps · (804) 964-2500
63
PEOPLE'S UNITED ADVISORS, INC. — (BRIDGEPORT, CT) left the SEC roster (was $845.2M RAUM, 27 reps). IAPD ↗
$845.2M RAUM · 27 reps · 646-971-2505
63
HYPERION PARTNERS, LLC — (BERWYN, PA) left the SEC roster (was $354.4M RAUM, 3 reps). IAPD ↗
$354.4M RAUM · 3 reps · (484) 584-4708 · hyperionpartnersllc.com
60
LINDNER CAPITAL ADVISORS, INC. — (ATLANTA, GA) left the SEC roster (was $147.0M RAUM, 4 reps). IAPD ↗
$147.0M RAUM · 4 reps · 770-977-7779
60
RLC BUSINESS SERVICES, INC. — (NAPLES, FL) left the SEC roster (was $75.5M RAUM, 1 reps). IAPD ↗
$75.5M RAUM · 1 reps · 239-280-1900
60
KEMP FINANCIAL MANAGEMENT, LLC — (FULLERTON, CA) left the SEC roster (was $230.0M RAUM, 3 reps). IAPD ↗
$230.0M RAUM · 3 reps · 714-257-0800 · kempfm.com
60
INVESTMENT MANAGEMENT ADVISORS, INC. — (NEW YORK, NY) left the SEC roster (was $56.8M RAUM, 1 reps). IAPD ↗
$56.8M RAUM · 1 reps · 212-741-0200 · prudentportfolios.com
60
FIDUCIARY CAPITAL ADVISORS INC — (location n/a) left the SEC roster (was $111.5M RAUM, 2 reps). IAPD ↗
$111.5M RAUM · 2 reps · 908-419-9459
60
COBEY JACOBSON & GORDON INC — (PASADENA, CA) left the SEC roster (was $99.4M RAUM, 1 reps). IAPD ↗
$99.4M RAUM · 1 reps · 626-584-3000
60
GCI INVESTORS — (HOUSTON, TX) left the SEC roster (was $5.0M RAUM, 2 reps). IAPD ↗
$5.0M RAUM · 2 reps · 8324920314
60
CAMBRIDGE FINANCIAL ADVISORS, LLC — (SALIDA, CO) left the SEC roster (was $0 RAUM, 3 reps). IAPD ↗
$0 RAUM · 3 reps · 719-539-1040 · cambridgefinancialadvisors.com
60
COMPASS ADVISORY PARTNERS LLC — (COOKEVILLE, TN) left the SEC roster (was $0 RAUM, 10 reps). IAPD ↗
$0 RAUM · 10 reps · 931-400-0012 · fidelisfinancialstrategies.com
60
WIMMER CONSULTING, LLC — (IRVING, TX) left the SEC roster (was $105.9M RAUM, 2 reps). IAPD ↗
$105.9M RAUM · 2 reps · 214-219-7762
60
KAY QUINN FINANCIAL, LLC — (NASHVILLE, TN) left the SEC roster (was $123.0M RAUM, 1 reps). IAPD ↗
$123.0M RAUM · 1 reps · 615-297-3434 · kayquinnfinancial.com
60
STONEHURST MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $20.9M RAUM, 1 reps). IAPD ↗
$20.9M RAUM · 1 reps · 212-993-7071 · stonehurst.net
60
CAPITAL GROWTH & SHELTER, INC. — (location n/a) left the SEC roster (was $33.3M RAUM, 1 reps). IAPD ↗
$33.3M RAUM · 1 reps · 518-399-3372 · capitalgrowthonline.com
60
CONFIDENTIAL PLANNING I, LLC — (EAST SYRACUSE, NY) left the SEC roster (was $53.8M RAUM, 8 reps). IAPD ↗
$53.8M RAUM · 8 reps · 315-251-1101 · cpcfs.com
60
BOLAN CAPITAL MANAGEMENT, LLC — (CINCINNATI, OH) left the SEC roster (was $238.7M RAUM, 2 reps). IAPD ↗
$238.7M RAUM · 2 reps · 513-624-7070 · bolancapital.com
60
NUKU — (BAINBRIDGE ISLAND, WA) left the SEC roster (was $3.2M RAUM, 1 reps). IAPD ↗
$3.2M RAUM · 1 reps · 206-596-2110 · nuku.com
60
WORTH CONSIDERING, INC. — (ROCHESTER, NY) left the SEC roster (was $55.1M RAUM, 1 reps). IAPD ↗
$55.1M RAUM · 1 reps · 585-389-6197 · worthconsidering.com
60
INVERDALE CAPITAL MANAGEMENT, LLC — (DALLAS, TX) left the SEC roster (was $81.8M RAUM, 2 reps). IAPD ↗
$81.8M RAUM · 2 reps · 214.871.2900 · inverdalecapital.com
60
CAFG WEALTH MANAGEMENT, INC. — (NORTH BARRINGTON, IL) left the SEC roster (was $225.2M RAUM, 2 reps). IAPD ↗
$225.2M RAUM · 2 reps · 847-991-1099
60
ODIN CAPITAL MANAGEMENT — (location n/a) left the SEC roster (was $249.9M RAUM, 4 reps). IAPD ↗
$249.9M RAUM · 4 reps · 203 252 1304
60
SORTINO ADVISORY PARTNERS, LLC — (LOUISVILLE, KY) left the SEC roster (was $211.6M RAUM, 2 reps). IAPD ↗
$211.6M RAUM · 2 reps · (502) 371-9850 · sortinoadvisory.com
60
NEWE WEALTH MANAGEMENT LLC — (location n/a) left the SEC roster (was $13,142 RAUM, 1 reps). IAPD ↗
$13,142 RAUM · 1 reps · (408) 966-2807
60
PEAK FINANCIAL SERVICES, INC. — (NORTHBOROUGH, MA) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · 508-351-9775
60
CATALYST WEALTH MANAGEMENT — (NORTHBROOK, IL) left the SEC roster (was $71.7M RAUM, 1 reps). IAPD ↗
$71.7M RAUM · 1 reps · 773-774-2600 · catalystwealthmgmt.com
60
SMARTMONEY.CO, LLC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 510-396-2953 · smartmoney.co
60
E*HEDGE SECURITIES, INC. — (MIAMI, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 800-407-3577 · ehedgesecurities.com
60
GOBE WEALTH MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $243,447 RAUM, 3 reps). IAPD ↗
$243,447 RAUM · 3 reps · 646-293-0913 · gobewealth.com
60
MATRIX ADVISORY — (location n/a) left the SEC roster (was $28.0M RAUM, 1 reps). IAPD ↗
$28.0M RAUM · 1 reps · 9174992939
60
PARKRIDGE|JCAM — (PIKESVILLE, MD) left the SEC roster (was $6.8M RAUM, 1 reps). IAPD ↗
$6.8M RAUM · 1 reps · 410-205-7967 · parkridgeco.com
60
ROCK CREEK WEALTH PLANNERS AND ADVISORS LLC — (SILVER SPRING, MD) left the SEC roster (was $50.2M RAUM, 2 reps). IAPD ↗
$50.2M RAUM · 2 reps · 202-899-1400 · rockcreekwealth.com
60
BKS RETIREMENT SERVICES — (TAMPA, FL) left the SEC roster (was $0 RAUM, 8 reps). IAPD ↗
$0 RAUM · 8 reps · 727-723-3676
60
WEALTHUP — (SAN FRANCISCO, CA) left the SEC roster (was $1,496 RAUM, 1 reps). IAPD ↗
$1,496 RAUM · 1 reps · 415-861-9461 · personaladviser.com
60
HERCULES INVESTMENTS — (LOS ANGELES, CA) left the SEC roster (was $33.2M RAUM, 1 reps). IAPD ↗
$33.2M RAUM · 1 reps · 800 729 0417
60
COMMUNITY CURE INC — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 917-763-7729 · mycommunitycure.com
60
QUANTITATIVE VALUE TECHNOLOGIES — (location n/a) left the SEC roster (was $172.6M RAUM, 2 reps). IAPD ↗
$172.6M RAUM · 2 reps · 913-214-5000
60
CERTEZA FUND ADVISORS LLC — (PROVIDENCE, UT) left the SEC roster (was $20.2M RAUM, 1 reps). IAPD ↗
$20.2M RAUM · 1 reps · 435-760-0923
60
DNDRO INC. — (VANCOUVER, WA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 206-707-8960 · dndro.com
60
WEALTH STACK — (AUSTIN, TX) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 737-444-9614
60
PLAYBOOK ADVISER — (SAN FRANCISCO, CA) left the SEC roster (was $2.2M RAUM, 3 reps). IAPD ↗
$2.2M RAUM · 3 reps · 415-805-2040
60
NAMTAF ADVISORS, LLC — (location n/a) left the SEC roster (was $159.3M RAUM, 1 reps). IAPD ↗
$159.3M RAUM · 1 reps · (314) 973-5059
60
BMO DIRECT INVEST INC. — (CHICAGO, IL) left the SEC roster (was $4.7M RAUM, 0 reps). IAPD ↗
$4.7M RAUM · 0 reps · 877-685-9057 · bmo.com
60
WALKER — (DOVER, DE) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 925-503-4551 · walkrfinance.com
60
DIGITAL FUNDS LLC — (ST. PETERSBURG, FL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 808-723-4144
60
MARTIN CLAUDE, MATTHEW — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 5045595092 · matthewmartin.tech
60
MAYA ADVISORS, L.L.C. — (PALO ALTO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (707) 438-6292 · getmaya.com
60
HORIZON FINANCIAL — (SEWARD, NE) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 5 reps). IAPD ↗
$0 RAUM · 5 reps · 402-643-4557
60
KEYTRENDS INVESTMENTS LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 757-816-1296 · keytrendsinvestments.com
60
INTENTIONAL FUNDS — (PRINCETON, NJ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 917-776-7237 · intentionalfunds.com
60
VAM GROUP, LLC — (SEWICKLEY, PA) left the SEC roster (was $81.4M RAUM, 2 reps). IAPD ↗
$81.4M RAUM · 2 reps · 724-940-5400 · vescioassetmgt.com
60
VANCE FUNDS LIMITED — (CLEVELAND, OH) left the SEC roster — its 120-day provisional registration did not convert (was $378,778 RAUM, 1 reps). IAPD ↗
$378,778 RAUM · 1 reps · (513) 289-9434
60
SLICESPACE — (MT. LAUREL, NJ) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · (856) 874-6935 · slicespace.com
60
M26 CAPITAL — (LAUDERDALE LAKES, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 305-720-8856
60
TRANEL INTELLIGENT INVESTING, LLC — (LIBERTYVILLE, IL) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 847-680-9073 · tranelintelligentinvesting.com
60
ONE CAPITAL PARTNERS LLC — (WESTLAKE VILLAGE, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 805-409-8150 · www.ocmfunding.com
60
ASG ADVISORY, 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 · 773-837-9648
60
PORT CAPITAL MANAGEMENT — (MASSAPEQUA, NY) left the SEC roster — its 120-day provisional registration did not convert (was $8.4M RAUM, 1 reps). IAPD ↗
$8.4M RAUM · 1 reps · 212-597-2249 · portcapitalmgmt.com
55
REDW WEALTH LLC — shrank from 14 to 9 advisory reps. IAPD ↗
$1.00B RAUM · 9 reps · 505-998-3200
55
SANFORD C. BERNSTEIN & CO., LLC — added office(s): 22 -> 23 additional locations. IAPD ↗
$3.71B RAUM · 0 reps · 615-622-0000
55
YHB INVESTMENT ADVISORS INC — added office(s): 0 -> 3 additional locations. IAPD ↗
$1.75B RAUM · 16 reps · 860-561-7050 · yhbia.com
55
WESCOTT FINANCIAL ADVISORY GROUP LLC — added office(s): 3 -> 6 additional locations. IAPD ↗
$3.48B RAUM · 30 reps · 215-979-1619
55
MATTER FAMILY OFFICE — added office(s): 2 -> 3 additional locations. IAPD ↗
$3.39B RAUM · 38 reps · 314-862-5190
55
SJS INVESTMENT SERVICES — added office(s): 2 -> 3 additional locations. IAPD ↗
$2.24B RAUM · 16 reps · 419-885-2626
55
LEAVELL INVESTMENT MANAGEMENT, INC. — added office(s): 4 -> 5 additional locations. IAPD ↗
$2.49B RAUM · 24 reps · 251-433-3709 · leavellinvestments.com
55
ALLIANCEBERNSTEIN L.P. — added office(s): 53 -> 54 additional locations. IAPD ↗
$651.48B RAUM · 829 reps · 615-622-0000 · blog.naver.com
55
VALLEY WEALTH MANAGERS, INC. — added office(s): 11 -> 12 additional locations. IAPD ↗
$2.25B RAUM · 48 reps · 888-794-7940
55
GRIMES & COMPANY, INC. — added office(s): 19 -> 25 additional locations. IAPD ↗
$4.85B RAUM · 27 reps · 508-366-3883
55
WAVERLY ADVISORS, LLC — added office(s): 18 -> 25 additional locations. IAPD ↗
$13.30B RAUM · 119 reps · 205-871-3334 · waverly-advisors.com
55
THE CAPROCK GROUP, LLC — added office(s): 4 -> 8 additional locations. IAPD ↗
$9.36B RAUM · 35 reps · (208) 368-9600
55
CARY STREET PARTNERS — added office(s): 16 -> 17 additional locations. IAPD ↗
$6.98B RAUM · 71 reps · (804) 340-8100
55
AUXANO ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.27B RAUM · 8 reps · (425) 889-1261 · auxanoadvisors.com
55
CAPITAL ADVISORS, LTD., LLC — added office(s): 0 -> 10 additional locations. IAPD ↗
$1.13B RAUM · 11 reps · 216-295-7900
55
APELLA WEALTH — added office(s): 15 -> 16 additional locations. IAPD ↗
$3.35B RAUM · 40 reps · 860.785.2260
55
INSPIRE INVESTING, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$2.56B RAUM · 2 reps · (877) 658-9473
55
AB PRIVATE CREDIT INVESTORS LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$7.10B RAUM · 1 reps · 615-622-0000
55
FIRST COMMAND ADVISORY SERVICES — added office(s): 176 -> 186 additional locations. IAPD ↗
$22.09B RAUM · 1155 reps · 817-731-8621
55
ONEASCENT FINANCIAL SERVICES LLC — added office(s): 30 -> 31 additional locations. IAPD ↗
$1.79B RAUM · 39 reps · 205-313-9142 · navigator-financial.com
55
THE FIDUCIARY ALLIANCE — added office(s): 14 -> 15 additional locations. IAPD ↗
$1.23B RAUM · 34 reps · 864-385-7999
55
EVERSOURCE WEALTH ADVISORS, LLC — added office(s): 22 -> 23 additional locations. IAPD ↗
$2.69B RAUM · 40 reps · 205-982-5515 · generouswealthaz.com
55
ALERA INVESTMENT ADVISORS, LLC — added office(s): 10 -> 12 additional locations. IAPD ↗
$2.73B RAUM · 52 reps · (847) 457-3000
55
EVOKE ADVISORS — added office(s): 2 -> 3 additional locations. IAPD ↗
$27.46B RAUM · 30 reps · 424-372-1776 · evokewealth.com
55
IEQ CAPITAL, LLC — added office(s): 10 -> 14 additional locations. IAPD ↗
$23.58B RAUM · 100 reps · 650-581-9807 · ieqcapital.com
55
JOURNEY STRATEGIC WEALTH LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$3.07B RAUM · 12 reps · (201) 905-0070 · journeysw.com
55
THE BALDWIN GROUP WEALTH ADVISORS, LLC — added office(s): 1 -> 5 additional locations. IAPD ↗
$4.81B RAUM · 43 reps · 866-279-0698 · baldwin.com
55
BLEAKLEY FINANCIAL GROUP, LLC — added office(s): 19 -> 21 additional locations. IAPD ↗
$9.18B RAUM · 152 reps · (973) 575-4180
55
CONCURRENT INVESTMENT ADVISORS, LLC — added office(s): 38 -> 39 additional locations. IAPD ↗
$6.26B RAUM · 132 reps · (813) 575-2652 · stamperwealth.com
55
TITLEIST ASSET MANAGEMENT, LLC — added office(s): 10 -> 11 additional locations. IAPD ↗
$1.40B RAUM · 18 reps · 210-826-2424 · tamgmt.com
53
CPR INVESTMENTS INC — shrank from 35 to 29 advisory reps. IAPD ↗
$295.2M RAUM · 29 reps · 800-213-1164
53
COVE STREET CAPITAL, LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$364.0M RAUM · 2 reps · 424-221-5897 · covestreetcapital.com
53
PVG ASSET MANAGEMENT CORP — added office(s): 0 -> 2 additional locations. IAPD ↗
$500.4M RAUM · 3 reps · 303-526-0548 · facebook.com\pvgasset
53
WILLIAM MACK & ASSOCIATES INC — added office(s): 25 -> 26 additional locations. IAPD ↗
$754.8M RAUM · 7 reps · 248-643-4310 · wmack.com
53
PENN DAVIS MCFARLAND INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$843.2M RAUM · 4 reps · 214-871-2772
53
LEELYN SMITH, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$603.4M RAUM · 17 reps · 630-232-8995
53
MUSTARD SEED WEALTH MANAGEMENT — added office(s): 4 -> 5 additional locations. IAPD ↗
$364.0M RAUM · 7 reps · 870-234-1618 · mustardseedfinancial.com
53
NORTHSTAR FINANCIAL COMPANIES, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$284.6M RAUM · 4 reps · 610-629-6100 · northstarfci.com
53
AA FINANCIAL ADVISORS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$864.3M RAUM · 9 reps · 614-442-3355
53
INTERACTIVE FINANCIAL ADVISORS — added office(s): 21 -> 22 additional locations. IAPD ↗
$284.9M RAUM · 36 reps · 630-472-1300
53
UNITED CAPITAL MANAGEMENT OF KANSAS, INC. — added office(s): 7 -> 8 additional locations. IAPD ↗
$459.8M RAUM · 19 reps · 785-823-7900 · ucmofkansas.com
53
OAKWELL PRIVATE WEALTH MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$411.8M RAUM · 8 reps · 1-800-55OAKWELL · oakwellpwm.com
53
FOUNDERS FINANCIAL ALLIANCE, LLC — added office(s): 14 -> 15 additional locations. IAPD ↗
$700.9M RAUM · 28 reps · 855-860-5940 · foundersfinancialalliance.com
53
INSIGHT FOLIOS — added office(s): 10 -> 11 additional locations. IAPD ↗
$279.0M RAUM · 15 reps · (704) 529-9500
53
BMSS WESSON WEALTH SOLUTIONS — added office(s): 2 -> 5 additional locations. IAPD ↗
$493.5M RAUM · 6 reps · 205-982-5555 · bmsswesson.com
53
LEXAURUM ADVISORS — added office(s): 19 -> 20 additional locations. IAPD ↗
$784.2M RAUM · 31 reps · 913-261-9316 · kowitzfinancialgroup.com
53
WHITAKER-MYERS WEALTH MANAGERS, LTD. — added office(s): 23 -> 24 additional locations. IAPD ↗
$513.0M RAUM · 15 reps · (330) 345-5000 · whitaker-myers.com
53
LONGVIEW FINANCIAL ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$318.9M RAUM · 2 reps · 415-256-7700 · longviewfin.com
53
TRUVESTMENTS CAPITAL LLC — added office(s): 10 -> 12 additional locations. IAPD ↗
$362.7M RAUM · 14 reps · 941-753-3814
53
INSPIRE ADVISORS, LLC — added office(s): 29 -> 30 additional locations. IAPD ↗
$835.3M RAUM · 45 reps · 877-859-6383 · inspireadvisors.com
53
VERUM PARTNERS LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$740.4M RAUM · 11 reps · (980) 771-3999
53
CONVERGENCE FINANCIAL — added office(s): 6 -> 8 additional locations. IAPD ↗
$422.4M RAUM · 13 reps · (573) 818-2264
53
FIVE OCEANS ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
$496.1M RAUM · 6 reps · (310) 507-9180
53
FORTIS CAPITAL ADVISORS, LLC — added office(s): 20 -> 32 additional locations. IAPD ↗
$630.6M RAUM · 37 reps · (775) 446-4208 · fortiscapitaladvisors.com
53
FOCUSED ALPHA, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$306.8M RAUM · 3 reps · 303-529-5100
53
CARR FINANCIAL GROUP — added office(s): 0 -> 3 additional locations. IAPD ↗
$553.6M RAUM · 5 reps · (508) 795-0264 · carrfinancial.com
53
VESTGEN ADVISORS, LLC — added office(s): 1 -> 5 additional locations. IAPD ↗
$660.3M RAUM · 13 reps · 847-907-9600 · investwithwmg.com
53
KOOMAN & ASSOCIATES — added office(s): 0 -> 2 additional locations. IAPD ↗
$411.3M RAUM · 5 reps · 814-941-4800
53
WEALTHSPRING — added office(s): 4 -> 8 additional locations. IAPD ↗
$300.1M RAUM · 4 reps · 562-491-4410
53
HAMPSHIRE FAMILY OFFICE — added office(s): 0 -> 1 additional locations. IAPD ↗
$843.7M RAUM · 5 reps · 212-365-7624 · hampshirefamilyoffice.com
53
TWIN PEAKS WEALTH ADVISORS — added office(s): 9 -> 10 additional locations. IAPD ↗
$318.5M RAUM · 7 reps · (650) 200-0308
53
PORTSIDE WEALTH GROUP, LLC — added office(s): 28 -> 33 additional locations. IAPD ↗
$884.8M RAUM · 37 reps · 385-412-1222
53
RELATION WEALTH MANAGEMENT, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$299.1M RAUM · 5 reps · 918-999-9137 · relationwealth.com
50
BULLTICK WEALTH MANAGEMENT, LLC — reported RAUM down 38% ($2.59B -> $1.60B). IAPD ↗
$1.60B RAUM · 20 reps · 305-533-1541 · bulltick.com
50
BRS FINANCIAL LLC — shrank from 7 to 5 advisory reps. IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
50
IFS GROUP — shrank from 14 to 7 advisory reps. IAPD ↗
$200.0M RAUM · 7 reps · 717-766-1144 · ifsgroup1.com
50
HAWKINS INVESTMENT COUNSEL, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$145.4M RAUM · 2 reps · 360.536.2181 · hawkinscounsel.com
50
MARMO FINANCIAL GROUP, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$226.0M RAUM · 4 reps · 423-282-0514 · marmofinancial.com
50
COLLAR CAPITAL MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$105.8M RAUM · 2 reps · 920-903-9540 · collarcapital.com
50
TENCAP WEALTH COACHING — added office(s): 9 -> 10 additional locations. IAPD ↗
$0 RAUM · 9 reps · 801-337-5032
50
LAKE TAHOE WEALTH MANAGEMENT, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$191.6M RAUM · 3 reps · 855-515-5896 · laketahoewealthmanagement.org
50
HGI CAPITAL MANAGEMENT, LLC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$186.5M RAUM · 3 reps · 212-644-0515
50
GRUPP FINANCIAL LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$81.7M RAUM · 3 reps · 1.307.200.6579 · gruppfinancial.com
50
QUINT INVESTMENTS AND INSURANCE — added office(s): 0 -> 1 additional locations. IAPD ↗
$56.0M RAUM · 8 reps · 845-345-3628 · quintii.com
50
INVARIANT INVESTMENT MANAGEMENT — added office(s): 3 -> 4 additional locations. IAPD ↗
$101.0M RAUM · 6 reps · (717) 317-9006 · invariantinvestments.com
50
PATHWISE — added office(s): 0 -> 1 additional locations. IAPD ↗
$162.5M RAUM · 2 reps · 925-939-5607 · pathwise.co
50
APTUS FINANCIAL, LLC — added office(s): 6 -> 9 additional locations. IAPD ↗
$0 RAUM · 9 reps · 501-907-1993
50
LAKE ROAD ADVISORS, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$67.9M RAUM · 2 reps · (607) 438-2914
50
ARES FINANCIAL CONSULTING LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$185.9M RAUM · 5 reps · 818-986-1479 · aresfinancialconsulting.com
50
MICHAEL TRAXLER WEALTH MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$141.1M RAUM · 3 reps · 952-758-8060 · michaeltraxler.com
50
MODEL WEALTH — added office(s): 0 -> 1 additional locations. IAPD ↗
$200.3M RAUM · 4 reps · (630) 381-1170 · modelwealth.com
50
XANTOS LABS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$1.4M RAUM · 1 reps · (512) 843-2673
50
WINTERS FINANCIAL GROUP, INC. — added office(s): 1 -> 2 additional locations. IAPD ↗
$169.5M RAUM · 2 reps · 805-497-1717 · wintersfg.com
50
ASSUREDPARTNERS INVESTMENT ADVISORS — added office(s): 14 -> 15 additional locations. IAPD ↗
$179.0M RAUM · 15 reps · 407-708-0050
50
WINCAP FINANCIAL LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$124.2M RAUM · 2 reps · (617) 590-3250 · wincapfinancial.com
50
DISCIPLINE WEALTH SOLUTIONS, INC. — added office(s): 5 -> 11 additional locations. IAPD ↗
$93.0M RAUM · 14 reps · 864-322-6046 · stahlneckergroup.com
50
THE WEALTH BOUTIQUE — added office(s): 2 -> 3 additional locations. IAPD ↗
$100.2M RAUM · 7 reps · 732-752-9191 · melissamyersgroup.com
50
CLOUD CAPITAL — added office(s): 1 -> 2 additional locations. IAPD ↗
$157.4M RAUM · 3 reps · 8007954303 · cloudcapital.us
50
LUMIERE FINANCIAL — added office(s): 1 -> 4 additional locations. IAPD ↗
$45.0M RAUM · 8 reps · (212) 516-5900
50
ONEASCENT FAMILY OFFICES — added office(s): 3 -> 4 additional locations. IAPD ↗
$93.8M RAUM · 2 reps · (205) 313-9142 · sovereignfamilyoffice.co
50
SLP WEALTH — added office(s): 15 -> 16 additional locations. IAPD ↗
$9.0M RAUM · 17 reps · (910) 315-0973 · slpwealth.com
50
HASENBERG FINANCIAL GROUP — added office(s): 0 -> 1 additional locations. IAPD ↗
$199.6M RAUM · 3 reps · 715-839-6566 · hasenberginc.com
50
ALPHA VEE ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · (617) 212-8691 · alphaveeadvisors.com
50
ALTITUDE CAPITAL MANAGEMENT LLC — added office(s): 3 -> 6 additional locations. IAPD ↗
$0 RAUM · 3 reps · 515-207-3310 · altitudecm.com
50
INTEGRITY WEALTH LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$238.8M RAUM · 3 reps · (541) 650-6061 · integritywealthnw.com
50
PARK SQUARE FINANCIAL GROUP LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 4 reps · 770-641-1401
50
PEAK WEALTH MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$25.5M RAUM · 1 reps · 518-441-2285
48
HAMPSHIRE FAMILY OFFICE — reported RAUM down 53% ($1.81B -> $843.7M). IAPD ↗
$843.7M RAUM · 5 reps · 212-365-7624 · hampshirefamilyoffice.com
45
S. R. SCHILL & ASSOCIATES, INC. — reported RAUM down 44% ($243.4M -> $136.4M). IAPD ↗
$136.4M RAUM · 3 reps · 206-275-2700
45
ATRATO ASSET MANAGEMENT LLC — reported RAUM down 37% ($83.0M -> $52.4M). IAPD ↗
$52.4M RAUM · 1 reps · (505) 310-1783
45
BRS FINANCIAL LLC — reported RAUM down 64% ($200.3M -> $72.6M). IAPD ↗
$72.6M RAUM · 5 reps · 877-588-3217 · brsconsulting.com
45
LOGIX INVESTMENTS LLC — reported RAUM down 42% ($205.9M -> $118.6M). IAPD ↗
$118.6M RAUM · 5 reps · 216-861-1148 · logixinvestment.com
45
CALLAHAN FINANCIAL PLANNING — reported RAUM down 60% ($248.3M -> $100.4M). IAPD ↗
$100.4M RAUM · 5 reps · (800) 991-5195 · callahanfp.com
69
WEALTHFRONT STRATEGIES LLC — grew from 5 to 14 advisory reps. IAPD ↗institutional
$1.33B RAUM · 14 reps · 844-995-8437
64
BOXER CAPITAL MANAGEMENT, LLC — grew from 1 to 10 advisory reps. IAPD ↗fund
$2.54B RAUM · 10 reps · 858.400.3115 · boxercap.com
64
QUADRATURE US INC. — grew from 80 to 89 advisory reps. IAPD ↗fund
$14.28B RAUM · 89 reps · 646-224-7425
59
MARCYPEN CAPITAL PARTNERS LLC — grew from 10 to 14 advisory reps. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
57
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC — grew from 2 to 4 advisory reps. IAPD ↗fund
$1.32B RAUM · 4 reps · 713.337.7980 · firstinfrastructurecapital.com
55
PFM ASSET MANAGEMENT LLC — (HARRISBURG, PA) left the SEC roster (was $176.88B RAUM, 215 reps). IAPD ↗institutional
$176.88B RAUM · 215 reps · 717-231-6200 · pfmam.com
55
EDGEHILL ENDOWMENT PARTNERS — (NEW HAVEN, CT) left the SEC roster (was $2.18B RAUM, 11 reps). IAPD ↗institutional
$2.18B RAUM · 11 reps · 203-654-3552 · edgehillendowment.com
55
MONTAGU US ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $4.40B RAUM, 1 reps). IAPD ↗institutional
$4.40B RAUM · 1 reps · 16465687321 · montagu.com
55
CORIGLIANO INVESTMENT ADVISERS, LLC — grew from 2 to 4 advisory reps. IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
55
THORNBURG BOW RIVER ADVISERS, LLC. — grew from 4 to 6 advisory reps. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
53
TOUCHDOWN VENTURES INC. — (PHILADELPHIA, PA) left the SEC roster (was $458.5M RAUM, 65 reps). IAPD ↗institutional
$458.5M RAUM · 65 reps · 856-431-3535 · touchdownvc.com
53
PEARL RIVER CAPITAL, LLC — (NILES, MI) left the SEC roster (was $719.1M RAUM, 9 reps). IAPD ↗institutional
$719.1M RAUM · 9 reps · 269-479-1493 · prcquant.com
53
WALK-ON CAPITAL, LLC — grew from 3 to 6 advisory reps. IAPD ↗fund
$100.1M RAUM · 6 reps · 970-948-2311 · walk-oncapital.com
50
VANTAGE ADVISORS, LLC — (location n/a) left the SEC roster (was $19.7M RAUM, 1 reps). IAPD ↗institutional
$19.7M RAUM · 1 reps · 317-590-4404
50
SHASTA VENTURES — (location n/a) left the SEC roster (was $2.02B RAUM, 4 reps). IAPD ↗fund
$2.02B RAUM · 4 reps · 650-543-1700 · shasta.vc
50
PIVOTALPATH (AMERICAS) LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 212-257-4860
50
FOUNTAINHEAD RETIREMENT SERVICES — (WARREN, NJ) left the SEC roster (was $0 RAUM, 4 reps). IAPD ↗institutional
$0 RAUM · 4 reps · 732-346-1900
50
OATH ADVISORS LLC — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 212-430-2100
50
MIX CAPITAL LTD — (NEWPORT BEACH, CA) left the SEC roster (was $0 RAUM, 45 reps). IAPD ↗institutional
$0 RAUM · 45 reps · 870-860-8877
50
AE ADVISORS — (location n/a) left the SEC roster (was $100.0M RAUM, 1 reps). IAPD ↗institutional
$100.0M RAUM · 1 reps · 239-710-4529
50
HAVEN ASSET MANAGEMENT (INTERVAL FUNDS) LLC — (GREENWICH, CT) left the SEC roster (was $16.4M RAUM, 2 reps). IAPD ↗institutional
$16.4M RAUM · 2 reps · 203-302-1700
50
QUBE CAPITAL SOLUTIONS, LLC — (location n/a) left the SEC roster (was $62.8M RAUM, 1 reps). IAPD ↗institutional
$62.8M RAUM · 1 reps · 4754670067 · qube-cs.com
50
ACRISURE CAPITAL ADVISERS, LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 616-541-6752
48
SQN INVESTORS LP — (MENLO PARK, CA) left the SEC roster (was $279.1M RAUM, 4 reps). IAPD ↗fund
$279.1M RAUM · 4 reps · 650-489-9100 · sqninvestors.com
48
YIELD CAPITAL PARTNERS LLC — (MONTECITO, CA) left the SEC roster (was $267.2M RAUM, 1 reps). IAPD ↗fund
$267.2M RAUM · 1 reps · 212-883-3333 · yieldcapitalpartners.com
48
ECM U.S. INC. — (COHASSET, MA) left the SEC roster (was $455.6M RAUM, 1 reps). IAPD ↗fund
$455.6M RAUM · 1 reps · 781-383-6600
48
SAX CAPITAL LLC — (WASHINGTON, DC) left the SEC roster (was $769.5M RAUM, 4 reps). IAPD ↗fund
$769.5M RAUM · 4 reps · (202) 729-9729 · saxcapital.co
48
COWBIRD CAPITAL LP — (NEW YORK, NY) left the SEC roster (was $355.5M RAUM, 3 reps). IAPD ↗fund
$355.5M RAUM · 3 reps · 212-350-8803 · cowbirdcapital.com
45
TOURADJI CAPITAL MANAGEMENT LP — (BOCA RATON, FL) left the SEC roster (was $52.1M RAUM, 1 reps). IAPD ↗fund
$52.1M RAUM · 1 reps · 212-984-8888 · touradji.com
45
STRATEGOS CAPITAL MANAGEMENT, LLC — (WAYNE, PA) left the SEC roster (was $21.6M RAUM, 3 reps). IAPD ↗fund
$21.6M RAUM · 3 reps · 215-701-9610 · strategoscm.com
45
STRIDE CAPITAL GROUP, LP — (WESTPORT, CT) left the SEC roster (was $96.6M RAUM, 3 reps). IAPD ↗fund
$96.6M RAUM · 3 reps · 203-569-8920 · stridecapital.com
45
MARKETFIELD ASSET MANAGEMENT LLC — (location n/a) left the SEC roster (was $154.0M RAUM, 3 reps). IAPD ↗fund
$154.0M RAUM · 3 reps · 212-514-2350 · marketfieldfund.com
45
JLP ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $212.1M RAUM, 5 reps). IAPD ↗fund
$212.1M RAUM · 5 reps · 212-578-1650 · jlpasset.com
45
JASPER ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $7.6M RAUM, 2 reps). IAPD ↗fund
$7.6M RAUM · 2 reps · 6466926003
45
HIGH HURDLE CAPITAL LLC — (NEW YORK, NY) left the SEC roster (was $96.6M RAUM, 2 reps). IAPD ↗fund
$96.6M RAUM · 2 reps · 212-388-5976
45
PARK AVENUE INSTITUTIONAL ADVISERS LLC — shrank from 55 to 23 advisory reps. IAPD ↗institutional
$74.86B RAUM · 23 reps · 212-919-2517
45
MEEDER PUBLIC FUNDS, INC. — added office(s): 5 -> 6 additional locations. IAPD ↗institutional
$54.57B RAUM · 32 reps · 800-325-3539 · meederinvestment.com
43
CORNERCAP INVESTMENT COUNSEL INC — shrank from 14 to 3 advisory reps. IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
42
ENVISAGE — grew from 1 to 5 advisory reps. IAPD ↗foreign
$448.0M RAUM · 5 reps · +41 44 552 0387 · envisage.ch
40
AQUILA INVESTMENT MANAGEMENT LLC — shrank from 4 to 0 advisory reps. IAPD ↗institutional
$0 RAUM · 0 reps · 212-697-6666 · aquilafunds.com
40
MIDCAP FINANCIAL SERVICES CAPITAL MANAGEMENT, LLC — shrank from 124 to 69 advisory reps. IAPD ↗fund
$8.22B RAUM · 69 reps · 301-760-7600
40
ALLIANCEBERNSTEIN HOLDING L.P. — added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 0 reps · 615-622-0000
40
ALLIANCEBERNSTEIN CORPORATION — added office(s): 1 -> 2 additional locations. IAPD ↗institutional
$0 RAUM · 0 reps · 615-622-0000
40
BALYASNY ASSET MANAGEMENT L.P. — added office(s): 27 -> 29 additional locations. IAPD ↗fund
$248.04B RAUM · 814 reps · 312-499-2999 · youtube.com@balyasny
40
NORTH CASTLE PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.64B RAUM · 12 reps · 203 862 3210
40
FIRST INFRASTRUCTURE CAPITAL ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.32B RAUM · 4 reps · 713.337.7980 · firstinfrastructurecapital.com
40
HARBOR GROUP INTERNATIONAL, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗fund
$3.77B RAUM · 50 reps · 757-640-0800
40
JANA PARTNERS MANAGEMENT, LP — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.84B RAUM · 9 reps · 212-455-0900 · janapartners.com
40
UNIGESTION (US) LTD — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$2.69B RAUM · 6 reps · +1 201-714-2400 · unigestion.com
40
MARCYPEN CAPITAL PARTNERS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.06B RAUM · 14 reps · 424-421-6040 · marcypen.com
40
ANDALUSIAN PRIVATE CAPITAL, LP — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$1.70B RAUM · 9 reps · (646) 908-6030 · andalusian.com
40
BELL PARTNERS — added office(s): 8 -> 9 additional locations. IAPD ↗fund
$5.72B RAUM · 65 reps · 336-232-1900 · bellpartnersinc.com
38
CORNERCAP INVESTMENT COUNSEL INC — reported RAUM down 71% ($1.21B -> $347.0M). IAPD ↗institutional
$347.0M RAUM · 3 reps · 404.870.0700 · cornercapfunds.com
38
VINE INVESTMENT ADVISORS, LP — shrank from 7 to 1 advisory reps. IAPD ↗fund
$928.4M RAUM · 1 reps · 917-512-7051
38
CHICAGO ATLANTIC ADVISERS, LLC — added office(s): 2 -> 4 additional locations. IAPD ↗fund
$679.1M RAUM · 36 reps · 312-809-7002 · chicagoatlantic.com
38
CORIGLIANO INVESTMENT ADVISERS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗fund
$461.6M RAUM · 4 reps · 919-225-6496 · coriglianoenergy.com
38
THORNBURG BOW RIVER ADVISERS, LLC. — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$340.9M RAUM · 6 reps · 303-861-8466 · thornburg.com
35
ECOFIN ADVISORS LIMITED — (LONDON, United Kingdom) left the SEC roster (was $1.38B RAUM, 9 reps). IAPD ↗foreign
$1.38B RAUM · 9 reps · 44-207-451-2929 · ecofininvest.com
35
PGIM WADHWANI LLP — (LONDON, United Kingdom) left the SEC roster (was $1.60B RAUM, 25 reps). IAPD ↗foreign
$1.60B RAUM · 25 reps · 44 (0) 20 7663 3400
35
UNIGESTION (UK) LTD — (LONDON, United Kingdom) left the SEC roster (was $1.50B RAUM, 12 reps). IAPD ↗foreign
$1.50B RAUM · 12 reps · +44 (0) 20 7529 5200
33
FCO ADVISORS LP — reported RAUM down 44% ($1.40B -> $791.3M). IAPD ↗fund
$791.3M RAUM · 6 reps · 646-467-8050 · foundationcredit.com
30
WAYZATA INVESTMENT PARTNERS LLC — reported RAUM down 51% ($376.0M -> $183.8M). IAPD ↗fund
$183.8M RAUM · 5 reps · 952-345-0700 · wayzatainvestmentpartners.com
30
GULLANE CAPITAL, LLC — reported RAUM down 28% ($260.7M -> $186.5M). IAPD ↗fund
$186.5M RAUM · 1 reps · 901-766-1969
30
IMARA ASSET MANAGEMENT LIMITED — (ROAD TOWN, TORTOLA, British Virgin Islands) left the SEC roster (was $42.8M RAUM, 2 reps). IAPD ↗foreign
$42.8M RAUM · 2 reps · +230 2631490 · imara.com
30
MAUND AND JONES INVESTMENTS LLC — (CASTRIES, Saint Lucia) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · 1 (302) 261-2821
30
NEWLANDS INVESTMENT MANAGEMENT PTE LTD. — (SINGAPORE, Singapore) left the SEC roster (was $41.3M RAUM, 3 reps). IAPD ↗foreign
$41.3M RAUM · 3 reps · +65 6221 3931 · newlandsim.com
20
PORTLAND HILL ASSET MANAGEMENT LIMITED — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$159.3M RAUM · 3 reps · 44 203 890 9288 · portlandhill.com
20
DUNHILL FINANCIAL — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$240.6M RAUM · 4 reps · +44 7514 993 556
20
ESPRESSO CAPITAL ADVISORS INC. — added office(s): 0 -> 3 additional locations. IAPD ↗foreign
$0 RAUM · 24 reps · 647-274-9033 · espressocapital.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.