← Tributary

Recruiting & transitions — May 2026

Recruiters, transition consultants, and firms hiring advisors.

233 firms opened this window in the May 2026 SEC roster: 96 new office, 48 deregistered, 37 headcount up, 26 headcount down, 26 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
WEALTHSPIRE ADVISORS — grew from 195 to 220 advisory reps. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
85
ONEDIGITAL — grew from 333 to 367 advisory reps. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
80
LYNX INVESTMENT ADVISORY, LLC — grew from 0 to 10 advisory reps. IAPD ↗
$1.11B RAUM · 10 reps · 202-833-3700
77
VESTWELL ADVISORS LLC — grew from 23 to 30 advisory reps. IAPD ↗
$1.03B RAUM · 30 reps · 917-979-5358
76
SANCTUARY ADVISORS, LLC — grew from 380 to 386 advisory reps. IAPD ↗
$34.88B RAUM · 386 reps · 317-975-7729
75
PLANCORP, LLC — grew from 43 to 48 advisory reps. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
75
TRIBUTARY CAPITAL MANAGEMENT, LLC — grew from 8 to 13 advisory reps. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
75
THEPARTNERS WEALTH MANAGEMENT — grew from 31 to 36 advisory reps. IAPD ↗
$1.18B RAUM · 36 reps · 800-324-3010 · wilkinswealthmanagement.com
74
LINDEN THOMAS ADVISORY SERVICES, LLC — grew from 4 to 8 advisory reps. IAPD ↗
$1.77B RAUM · 8 reps · (704) 554-8150 · lindenthomas.com
73
SECURE INVESTMENT MANAGEMENT, LLC — grew from 12 to 20 advisory reps. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
73
ARQ WEALTH ADVISORS, LLC — grew from 6 to 9 advisory reps. IAPD ↗
$1.11B RAUM · 9 reps · 480-214-9572 · arqwealth.com
73
BESPOKE ADVISORY — grew from 4 to 9 advisory reps. IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
72
KIMELMAN & BAIRD, LLC — grew from 4 to 6 advisory reps. IAPD ↗
$1.48B RAUM · 6 reps · 212-686-0021
72
MARK ASSET MANAGEMENT LP — grew from 5 to 7 advisory reps. IAPD ↗
$1.14B RAUM · 7 reps · 212-372-2500 · markasset.com
72
JOHN MOORE & ASSOCIATES INC — grew from 7 to 9 advisory reps. IAPD ↗
$1.03B RAUM · 9 reps · 505-881-5100 · johnmoore.com
72
STONECREST ADVISORS, INC. — grew from 20 to 24 advisory reps. IAPD ↗
$398.8M RAUM · 24 reps · 866-342-1069 · stonecrestpartners.com
72
PENSION & WEALTH MANAGEMENT ADVISORS — grew from 5 to 9 advisory reps. IAPD ↗
$529.8M RAUM · 9 reps · 781-810-0800
71
FLOWER CITY CAPITAL LLC — grew from 3 to 6 advisory reps. IAPD ↗
$444.6M RAUM · 6 reps · 585-236-8501
71
WEST RIDGE ADVISORS — grew from 10 to 13 advisory reps. IAPD ↗
$396.0M RAUM · 13 reps · (702) 547-9483 · westridgeadvisors.com
71
SAND CREEK CAPITAL, LLC — grew from 5 to 8 advisory reps. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
70
RYAN INVESTMENTS — grew from 2 to 4 advisory reps. IAPD ↗
$272.0M RAUM · 4 reps · 970-429-1100 · ryaninvest.com
70
FAITH INVESTOR SERVICES — grew from 4 to 6 advisory reps. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
70
FIDUCIARY CAPITAL MANAGEMENT LLC — grew from 1 to 6 advisory reps. IAPD ↗
$142.5M RAUM · 6 reps · 503 515 1313 · fiduciarycm.com
69
IBN ADVISORY SERVICES, INC. — grew from 4 to 8 advisory reps. IAPD ↗
$69.8M RAUM · 8 reps · 315-652-4426
68
MADISON GLOBAL ADVISORS LLC — grew from 5 to 8 advisory reps. IAPD ↗
$71.4M RAUM · 8 reps · 631-240-4155
67
APFORIA — grew from 9 to 11 advisory reps. IAPD ↗
$101.9M RAUM · 11 reps · (833) 780-2487 · apforia.com
67
OLDFIELD WEALTH PARTNERS — grew from 1 to 3 advisory reps. IAPD ↗
$110.0M RAUM · 3 reps · 207-573-3001 · oldfieldwealth.com
67
IGW ADVISORY INVESTMENT MANAGEMENT LLC — grew from 2 to 4 advisory reps. IAPD ↗
$145.1M RAUM · 4 reps · 646-717-4509 · igwadvisory.com
65
U.S. BANCORP INVESTMENTS, INC. — (SAINT PAUL, MN) left the SEC roster (was $22.94B RAUM, 944 reps). IAPD ↗
$22.94B RAUM · 944 reps · 800-888-4700
65
REGENCY INVESTMENT ADVISORS INC — (FRESNO, CA) left the SEC roster (was $1.14B RAUM, 8 reps). IAPD ↗
$1.14B RAUM · 8 reps · 559-438-2640 · regencyinvests.com
65
COVENANT PARTNERS, LLC — (NASHVILLE, TN) left the SEC roster (was $1.08B RAUM, 5 reps). IAPD ↗
$1.08B RAUM · 5 reps · 615-665-1801 · covenantpartnersllc.com
65
EXENCIAL WEALTH ADVISORS — (OKLAHOMA CITY, OK) left the SEC roster (was $5.98B RAUM, 47 reps). IAPD ↗
$5.98B RAUM · 47 reps · 405-478-1971
65
ALPHA CUBED INVESTMENTS, LLC — (COSTA MESA, CA) left the SEC roster (was $3.78B RAUM, 22 reps). IAPD ↗
$3.78B RAUM · 22 reps · (800) 701-2457
65
JOURNEY STRATEGIC WEALTH LLC — (SUMMIT, NJ) left the SEC roster (was $4.64B RAUM, 21 reps). IAPD ↗
$4.64B RAUM · 21 reps · (201) 905-0070 · journeysw.com
63
VANTAGE WEALTH — (PASADENA, CA) left the SEC roster (was $683.8M RAUM, 4 reps). IAPD ↗
$683.8M RAUM · 4 reps · 626-844-7184 · vantagewealth.com
63
STUART CHAUSSÉE & ASSOCIATES, INC. — (location n/a) left the SEC roster (was $407.9M RAUM, 2 reps). IAPD ↗
$407.9M RAUM · 2 reps · (310) 373-3732 · preservingwealth.com
63
EDGE FINANCIAL ADVISORS, LLC — (WHEATON, IL) left the SEC roster (was $512.5M RAUM, 8 reps). IAPD ↗
$512.5M RAUM · 8 reps · 630-221-1000
63
DEMPSEY LORD SMITH, LLC — (ROME, GA) left the SEC roster (was $580.5M RAUM, 78 reps). IAPD ↗
$580.5M RAUM · 78 reps · 706.238.9575 · wealthretirementsolutions.net
63
TJT CAPITAL GROUP, LLC — (STAMFORD, CT) left the SEC roster (was $294.1M RAUM, 2 reps). IAPD ↗
$294.1M RAUM · 2 reps · 203-504-8850 · tjtcapital.com
63
HARBOR WEALTH MANAGEMENT, LLC — (GREEN BAY, WI) left the SEC roster (was $410.5M RAUM, 5 reps). IAPD ↗
$410.5M RAUM · 5 reps · 920-434-5310 · harbor-wealth.com
63
DIVERGENT PLANNING — (BETHESDA, MD) left the SEC roster (was $423.1M RAUM, 4 reps). IAPD ↗
$423.1M RAUM · 4 reps · (240) 428-8911
63
PATHFINDER WEALTH CONSULTING — (WILMINGTON, NC) left the SEC roster (was $865.5M RAUM, 9 reps). IAPD ↗
$865.5M RAUM · 9 reps · (910) 793-0616
60
WOOTTON FINANCIAL GROUP INC — (CONROE, TX) left the SEC roster (was $156.0M RAUM, 1 reps). IAPD ↗
$156.0M RAUM · 1 reps · 936-449-5952 · woottonfinancial.com
60
MCBRIDE FINANCIAL ADVISORS, LLC — (location n/a) left the SEC roster (was $170.0M RAUM, 1 reps). IAPD ↗
$170.0M RAUM · 1 reps · 206-223-0561 · mcbridefinancialadvisors.com
60
RESOURCE 1, INC. — (NORFOLK, VA) left the SEC roster (was $132.7M RAUM, 2 reps). IAPD ↗
$132.7M RAUM · 2 reps · 757-616-0600 · r1advisor.com
60
COMPLETE FINANCIAL PLANNING,INC. — (location n/a) left the SEC roster (was $32.0M RAUM, 1 reps). IAPD ↗
$32.0M RAUM · 1 reps · 845-638-6505 · thecompletefinancialplan.com
60
FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC. — (location n/a) left the SEC roster (was $41.9M RAUM, 2 reps). IAPD ↗
$41.9M RAUM · 2 reps · 402-445-9333
60
CH DOUGLAS & GRAY WEALTH MANAGEMENT — (INDIANAPOLIS, IN) left the SEC roster (was $187.2M RAUM, 6 reps). IAPD ↗
$187.2M RAUM · 6 reps · 317-843-8300
60
CRESCENT FINANCIAL ADVISORS — (SENECA, SC) left the SEC roster (was $192.8M RAUM, 3 reps). IAPD ↗
$192.8M RAUM · 3 reps · (864) 888-2666 · crescentfa.com
60
TRUTORO — (CONWAY, AR) left the SEC roster (was $142.0M RAUM, 8 reps). IAPD ↗
$142.0M RAUM · 8 reps · 501-730-0303 · trutoro.com
60
STEVARD LLC — (location n/a) left the SEC roster (was $42.9M RAUM, 1 reps). IAPD ↗
$42.9M RAUM · 1 reps · 773-275-3262
60
LOGIX INVESTMENTS LLC — (CLEVELAND, OH) left the SEC roster (was $100.4M RAUM, 3 reps). IAPD ↗
$100.4M RAUM · 3 reps · 216-861-1148 · logixinvestment.com
60
FIFIT LLC — (location n/a) left the SEC roster (was $123.1M RAUM, 1 reps). IAPD ↗
$123.1M RAUM · 1 reps · 3469014434
60
REMBRANDT FINANCIAL GROUP LLC — (AUSTIN, TX) left the SEC roster (was $188.6M RAUM, 3 reps). IAPD ↗
$188.6M RAUM · 3 reps · (512) 306-1314 · rembrandtfinancialgroup.com
60
A|C MANAGEMENT TECH LLC — (MIAMI, FL) left the SEC roster (was $98,361 RAUM, 2 reps). IAPD ↗
$98,361 RAUM · 2 reps · 786-527-0038 · assetmanagertech.com
60
STRIVE RETIREMENT GROUP — (DAYTONA BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $6.1M RAUM, 3 reps). IAPD ↗
$6.1M RAUM · 3 reps · 407-357-0123
60
STEINWOLD & CO. LLC — (CHICAGO, IL) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 408-891-7991 · steinwold.com
60
CHARTERED WEALTH PARTNERS, LP — (BEVERLY HILLS, CA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · (323)868-6668 · charteredwealth.com
60
BECKETT CLARK PRIVATE WEALTH, LLC — (BETHESDA, MD) left the SEC roster — its 120-day provisional registration did not convert (was $28.6M RAUM, 1 reps). IAPD ↗
$28.6M RAUM · 1 reps · 301-708-8911 · bcprivatewealth.com
60
OASYS WEALTH, INC. — (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 · 617-608-8702 · oasyswealth.com
60
GUIDED PATH FINANCIAL — (PLANO, TX) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗
$0 RAUM · 4 reps · 972-755-9000 · guidedpathfinancial.com
55
TRUWEALTH ADVISORS, LLC — shrank from 18 to 14 advisory reps. IAPD ↗
$3.05B RAUM · 14 reps · 504-779-7799
55
HANTZ FINANCIAL SERVICES, INC. — added office(s): 19 -> 20 additional locations. IAPD ↗
$10.00B RAUM · 333 reps · 248-304-2855 · hantzgroup.com
55
BLOOM ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.62B RAUM · 11 reps · 248-932-5200
55
WEALTHSPIRE ADVISORS — added office(s): 22 -> 26 additional locations. IAPD ↗
$34.32B RAUM · 220 reps · (212) 973-1200
55
PLANCORP, LLC — added office(s): 7 -> 8 additional locations. IAPD ↗
$9.94B RAUM · 48 reps · (636) 532-7824
55
ONEDIGITAL — added office(s): 83 -> 173 additional locations. IAPD ↗
$155.41B RAUM · 367 reps · 877-742-2021
55
SAVANT WEALTH MANAGEMENT — added office(s): 49 -> 65 additional locations. IAPD ↗
$49.57B RAUM · 238 reps · 815-227-0300
55
BRIGHTON JONES LLC — added office(s): 23 -> 24 additional locations. IAPD ↗
$18.88B RAUM · 156 reps · 206-258-5000
55
TRIBUTARY CAPITAL MANAGEMENT, LLC — added office(s): 0 -> 2 additional locations. IAPD ↗
$1.90B RAUM · 13 reps · 877-458-0021 · tributarycapital.com
55
BEACON POINTE ADVISORS, LLC — added office(s): 65 -> 89 additional locations. IAPD ↗
$54.87B RAUM · 440 reps · 949-718-1600 · beaconpointefunds.com
55
TFO WEALTH PARTNERS — added office(s): 10 -> 11 additional locations. IAPD ↗
$5.66B RAUM · 55 reps · 419-891-9999
55
PKS ADVISORY SERVICES, LLC — added office(s): 22 -> 23 additional locations. IAPD ↗
$1.09B RAUM · 36 reps · (518) 426-5791 · woehlerfinancialgroup.com
55
GLASSMAN WEALTH SERVICES, LLC — added office(s): 15 -> 16 additional locations. IAPD ↗
$2.56B RAUM · 13 reps · 703-534-4444
55
THREE BELL CAPITAL LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$5.05B RAUM · 14 reps · 650-843-9836
55
B.O.S.S. RETIREMENT ADVISORS, LLC — added office(s): 10 -> 11 additional locations. IAPD ↗
$1.38B RAUM · 49 reps · 801-990-5055
55
DESTINY WEALTH PARTNERS, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$1.50B RAUM · 11 reps · 352.343.2700 · destinywealthpartners.com
55
ALPHACORE CAPITAL LLC — added office(s): 23 -> 24 additional locations. IAPD ↗
$9.03B RAUM · 69 reps · 858-875-4100 · alphacore.com
55
SUMMIT TRAIL ADVISORS, LLC — added office(s): 16 -> 17 additional locations. IAPD ↗
$19.94B RAUM · 31 reps · 212-812-7010 · summittrail.com
55
ONESEVEN — added office(s): 37 -> 47 additional locations. IAPD ↗
$7.72B RAUM · 95 reps · 216-865-1700
55
THE FIDUCIARY ALLIANCE — added office(s): 23 -> 24 additional locations. IAPD ↗
$2.53B RAUM · 45 reps · 864-385-7999
55
BRYN MAWR TRUST ADVISORS, LLC — added office(s): 7 -> 8 additional locations. IAPD ↗
$3.51B RAUM · 55 reps · 215.731.1820 · bmt.com
55
ONEPOINT BFG WEALTH PARTNERS — added office(s): 20 -> 21 additional locations. IAPD ↗
$15.13B RAUM · 104 reps · (973) 575-4180
55
PORTSIDE WEALTH GROUP, LLC — added office(s): 42 -> 43 additional locations. IAPD ↗
$1.43B RAUM · 47 reps · 385-412-1222
55
QUOTIENT WEALTH PARTNERS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$4.61B RAUM · 29 reps · (469) 912-2522
55
LEGACY EDGE ADVISORS — added office(s): 4 -> 5 additional locations. IAPD ↗
$1.23B RAUM · 16 reps · 516-447-4200
53
BATES FINANCIAL ADVISORS, INC. — shrank from 7 to 5 advisory reps. IAPD ↗
$439.2M RAUM · 5 reps · 815-332-4020 · batesfinancialadvisors.com
53
MODERN CAPITAL ADVISORS, LLC — shrank from 24 to 18 advisory reps. IAPD ↗
$254.8M RAUM · 18 reps · 800-440-0442 · moderncap.com
53
ADAMS WEALTH ADVISORS — shrank from 16 to 11 advisory reps. IAPD ↗
$565.8M RAUM · 11 reps · (435)752-1702
53
CAPASSO PLANNING PARTNERS LLC — shrank from 7 to 4 advisory reps. IAPD ↗
$274.2M RAUM · 4 reps · 843-608-8487
53
CACHETECH — shrank from 6 to 2 advisory reps. IAPD ↗
$547.4M RAUM · 2 reps · 435-752-1702
53
MCCLARREN FINANCIAL ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
$453.0M RAUM · 8 reps · 814-235-1940
53
STONECREST ADVISORS, INC. — added office(s): 10 -> 12 additional locations. IAPD ↗
$398.8M RAUM · 24 reps · 866-342-1069 · stonecrestpartners.com
53
CORNERSTONE SELECT ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$315.3M RAUM · 4 reps · 314-862-5155 · csastl.com
53
DELTA INVESTMENT MANAGEMENT, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$856.7M RAUM · 25 reps · (415) 249-6337
53
RESEARCH FINANCIAL STRATEGIES — added office(s): 7 -> 8 additional locations. IAPD ↗
$251.6M RAUM · 6 reps · 301-294-7500 · rfsadvisors.com
53
MBM WEALTH CONSULTANTS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$476.7M RAUM · 7 reps · (636) 274-6262 · mbmadvisorservices.com
53
EQUITA FINANCIAL NETWORK, INC. — added office(s): 17 -> 18 additional locations. IAPD ↗
$391.0M RAUM · 15 reps · 800.604.0176
53
ALMANACK INVESTMENT PARTNERS — added office(s): 2 -> 3 additional locations. IAPD ↗
$945.9M RAUM · 13 reps · 484-580-2277 · whiteknightcapital.net
53
KINETIC INVESTMENT MANAGEMENT, INC. — added office(s): 15 -> 16 additional locations. IAPD ↗
$450.9M RAUM · 24 reps · (800) 711-4818
53
OASIS WEALTH PLANNING ADVISORS — added office(s): 14 -> 15 additional locations. IAPD ↗
$275.9M RAUM · 7 reps · (615) 933-3314 · oasiswealthatlanta.com
53
SHERWOOD FINANCIAL PARTNERS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$293.8M RAUM · 3 reps · 805.870.5591
53
BLUEDOOR PRIVATE WEALTH, LLC — added office(s): 1 -> 5 additional locations. IAPD ↗
$337.3M RAUM · 4 reps · 781-810-4604 · bluedoorprivate.com
53
TRU INDEPENDENCE ASSET MANAGEMENT 2, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$264.7M RAUM · 3 reps · 971-371-3444 · meritwealth.com
53
RETIRE AGILE — added office(s): 4 -> 5 additional locations. IAPD ↗
$433.7M RAUM · 5 reps · 218-336-2506 · align.financial
53
FAITH INVESTOR SERVICES — added office(s): 2 -> 3 additional locations. IAPD ↗
$279.7M RAUM · 6 reps · 314-214-1404
53
BLUEPRINT FINANCIAL ADVISORS — added office(s): 15 -> 17 additional locations. IAPD ↗
$966.6M RAUM · 28 reps · 844-200-2568 · buildyourblueprint.com
53
PACE FINANCIAL ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
$362.1M RAUM · 9 reps · 971-727-8434 · pace-fa.com
53
BESPOKE ADVISORY — added office(s): 0 -> 1 additional locations. IAPD ↗
$284.0M RAUM · 9 reps · 877-777-6845 · bespokeadvisory.io
53
SEVEN MILE ADVISORY LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$416.8M RAUM · 4 reps · 212-365-5562
53
INNOVATIVE PRIVATE WEALTH MANAGEMENT INC. — added office(s): 4 -> 6 additional locations. IAPD ↗
$367.0M RAUM · 7 reps · 914-427-8036
53
SAND CREEK CAPITAL, LLC — added office(s): 0 -> 5 additional locations. IAPD ↗
$471.2M RAUM · 8 reps · 208-356-9022 · sandcreekcap.com
53
RELATION WEALTH MANAGEMENT, INC. — added office(s): 2 -> 3 additional locations. IAPD ↗
$541.2M RAUM · 5 reps · (918) 999-9138 · relationwealth.com
53
INFLECTION CAPITAL MANAGEMENT, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$365.6M RAUM · 8 reps · 415-450-6556
53
ALONGSIDE, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$878.6M RAUM · 3 reps · (512) 241-7341
53
XCELSIOR ADVISOR PARTNERS LLC — added office(s): 6 -> 7 additional locations. IAPD ↗
$650.7M RAUM · 13 reps · 480-866-8616 · xcelsiorpartners.com
53
ASSET ONE WEALTH MANAGEMENT, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$982.5M RAUM · 9 reps · (425) 504-830 · assetone.com
50
WAYPOINT WEALTH MANAGEMENT — shrank from 3 to 1 advisory reps. IAPD ↗
$242.5M RAUM · 1 reps · 410-561-3994 · waypointwm.com
50
KG CAPITAL MANAGEMENT, LLC — shrank from 8 to 3 advisory reps. IAPD ↗
$199.5M RAUM · 3 reps · 225-245-5153 · kgcapitalmanagement.com
50
NEWDAY — shrank from 3 to 1 advisory reps. IAPD ↗
$6.5M RAUM · 1 reps · 415-935-0550
50
PARADIGM WEALTH MANAGEMENT — shrank from 5 to 2 advisory reps. IAPD ↗
$116.3M RAUM · 2 reps · 531-333-2728
50
GANIM PRIVATE WEALTH — shrank from 6 to 4 advisory reps. IAPD ↗
$238.6M RAUM · 4 reps · (203) 335-0851 · ganimfinancial.com
50
ARIA WEALTH MANAGEMENT — shrank from 8 to 6 advisory reps. IAPD ↗
$130.0M RAUM · 6 reps · 669-222-1155 · ariawm.com
50
VITA PLANNING GROUP LLC — shrank from 5 to 3 advisory reps. IAPD ↗
$83.7M RAUM · 3 reps · 650-567-9300 · vita401k.com
50
SPHINX INVESTMENTS LLC — shrank from 4 to 2 advisory reps. IAPD ↗
$46.1M RAUM · 2 reps · 833-247-7833 · sphinxinvests.com
50
WILLOW PARTNER ADVISORS, LLC — shrank from 10 to 5 advisory reps. IAPD ↗
$0 RAUM · 5 reps · 617-279-3685 · my.trustwillow.com
50
ENCORE WEALTH ADVISORS — shrank from 3 to 1 advisory reps. IAPD ↗
$121.7M RAUM · 1 reps · 320-288-4084
50
IMPERITY WEALTH ALLIANCE LLC — shrank from 14 to 10 advisory reps. IAPD ↗
$139.7M RAUM · 10 reps · 800-203-2702 · huntfinancialsolutions.com
50
INTERCAROLINA FINANCIAL SERVICES, INC. — added office(s): 8 -> 9 additional locations. IAPD ↗
$85.4M RAUM · 9 reps · 336-288-6890 · intercarolina.net
50
CEF ADVISORS — added office(s): 0 -> 4 additional locations. IAPD ↗
$186.3M RAUM · 2 reps · 804-288-2482 · cefdata.com
50
DAVENPORT WATTS & DRAKE INVESTMENT ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$157.1M RAUM · 3 reps · 601-898-8069 · davenportwattsdrake.com
50
SECURE INVESTMENT MANAGEMENT, LLC — added office(s): 0 -> 4 additional locations. IAPD ↗
$42.9M RAUM · 20 reps · 520-333-4719 · secureinvestmentmanagement.com
50
KEEN CAPITAL, LTD — added office(s): 3 -> 4 additional locations. IAPD ↗
$179.7M RAUM · 3 reps · 803-941-4444 · coreadvisors.com
50
MCKINLEY MONEY, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$163.7M RAUM · 2 reps · (715) 835-2732 · wpr.com
50
CAPSTONE WEALTH PARTNERS — added office(s): 1 -> 2 additional locations. IAPD ↗
$114.9M RAUM · 3 reps · (614) 754-7805 · capstonewealthpartners.com
50
PLANVISION, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 5 reps · (612) 965-4286
50
TOTAL WEALTH PLANNING AND MANAGEMENT, INC. — added office(s): 5 -> 6 additional locations. IAPD ↗
$238.8M RAUM · 7 reps · (866) 568-0003 · buzzsprout.com
50
COASTAL WEALTH ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$106.6M RAUM · 2 reps · 843-870-9568 · pinterest.com
50
RAI WEALTH MANAGEMENT — added office(s): 0 -> 2 additional locations. IAPD ↗
$159.7M RAUM · 4 reps · (714) 449-9696
50
CRAFT WEALTH SERVICES — added office(s): 5 -> 6 additional locations. IAPD ↗
$120.8M RAUM · 7 reps · 813-394-0984
50
SUCCESS WEALTH MANAGEMENT LLC — added office(s): 13 -> 14 additional locations. IAPD ↗
$110.5M RAUM · 13 reps · 724-934-8128 · successwealth.org
50
CWM ADVISORY, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$101.0M RAUM · 3 reps · (410) 208-1091
50
LEGACY CHIEF FINANCIAL OFFICE, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$105.1M RAUM · 1 reps · 832-510-9099 · legacycfo.com
50
THREE SIXTY WEALTH MANAGEMENT, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$190.1M RAUM · 3 reps · (630) 219-1695
50
SMARTPATH ADVISORS — added office(s): 7 -> 8 additional locations. IAPD ↗
$0 RAUM · 7 reps · (678) 538-9420 · getfrank.com
50
API FINANCIAL ADVISORS, LLC — added office(s): 4 -> 7 additional locations. IAPD ↗
$84.7M RAUM · 13 reps · 321-888-2599
50
KUHN & COMPANY INVESTMENT COUNSEL, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$182.7M RAUM · 3 reps · 630-416-7700
50
GREYCLIFF WEALTH MANAGEMENT, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$83.8M RAUM · 4 reps · 201-738-2818
50
TEAM WEALTH & TAX ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$233.3M RAUM · 6 reps · 951-308-6444 · g.co
50
DALE Q. RICE INVESTMENT MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$156.6M RAUM · 1 reps · 360-693-7577
50
CSP FINANCIAL GROUP LLC — added office(s): 16 -> 17 additional locations. IAPD ↗
$119.2M RAUM · 20 reps · 480-600-9626 · cspfgllc.com
50
FIDUCIARY FINANCIAL PLANNING NETWORK — added office(s): 0 -> 1 additional locations. IAPD ↗
$175.7M RAUM · 5 reps · (608) 534-4444
50
TSG ALPHA PARTNERS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$134.9M RAUM · 9 reps · 631-403-5364 · tsginvest.com
50
PARA WEALTH ADVISORS, INC. — added office(s): 1 -> 3 additional locations. IAPD ↗
$221.0M RAUM · 2 reps · 3605587058 · parawealthadvisors.com
50
WAYSTONE ADVISORS LLC — added office(s): 2 -> 4 additional locations. IAPD ↗
$179.3M RAUM · 4 reps · (425) 484-0045 · waystoneadvisors.com
50
AVISE FINANCIAL — added office(s): 3 -> 6 additional locations. IAPD ↗
$169.4M RAUM · 6 reps · 310-807-5778 · primerosfinancial.com
50
INNOVATIVE FAMILY OFFICE LLC — added office(s): 6 -> 7 additional locations. IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
50
ZERO DAY CAPITAL ENTERPRISES LLC — added office(s): 15 -> 16 additional locations. IAPD ↗
$30.7M RAUM · 16 reps · 702 271 3265 · zerodaycapital.com
50
PARK SQUARE FINANCIAL GROUP LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$218.6M RAUM · 4 reps · 770-641-1401
50
COLAB CAPITAL — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.4M RAUM · 1 reps · 415-317-5100 · colab-capital.com
50
TUTTLE WEALTH PARTNERS LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$75.1M RAUM · 3 reps · (800) 781-1219 · tuttlewealth.com
50
YOUR IA, LLC — added office(s): 0 -> 6 additional locations. IAPD ↗
$106.6M RAUM · 15 reps · 800-823-0489 · youria.com
50
SAGEPOINT CAPITAL PARTNERS LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 1 reps · 239-307-8180
50
STILLWATER PRIVATE WEALTH — added office(s): 1 -> 2 additional locations. IAPD ↗
$0 RAUM · 2 reps · 6102910232 · swprivatewealth.com
50
VANDALIA WEALTH — added office(s): 4 -> 5 additional locations. IAPD ↗
$0 RAUM · 14 reps · 304-915-0260
48
BROOKLINE INVESTMENTS, INC. — reported RAUM down 30% ($402.6M -> $281.5M). IAPD ↗
$281.5M RAUM · 2 reps · 205-263-2332
45
INTERCAROLINA FINANCIAL SERVICES, INC. — reported RAUM down 35% ($130.8M -> $85.4M). IAPD ↗
$85.4M RAUM · 9 reps · 336-288-6890 · intercarolina.net
45
IBN FINANCIAL SERVICES, INC — reported RAUM down 51% ($180.5M -> $87.7M). IAPD ↗
$87.7M RAUM · 15 reps · 315-652-4426 · ibrokernet.com
45
NEWDAY — reported RAUM down 96% ($172.4M -> $6.5M). IAPD ↗
$6.5M RAUM · 1 reps · 415-935-0550
45
LEGACY CORNERSTONE WEALTH LLC — reported RAUM down 79% ($106.1M -> $22.4M). IAPD ↗
$22.4M RAUM · 1 reps · 702-767-9891
45
PARADIGM WEALTH MANAGEMENT — reported RAUM down 72% ($421.2M -> $116.3M). IAPD ↗
$116.3M RAUM · 2 reps · 531-333-2728
45
FC WEALTH SOLUTIONS LLC — reported RAUM down 49% ($199.4M -> $101.0M). IAPD ↗
$101.0M RAUM · 4 reps · (614) 212-1015 · fcwealthsolutions.com
45
IBN ADVISORY SERVICES, INC. — reported RAUM down 62% ($184.9M -> $69.8M). IAPD ↗
$69.8M RAUM · 8 reps · 315-652-4426
45
EVESTIA FINANCIAL — reported RAUM down 37% ($52.6M -> $33.3M). IAPD ↗
$33.3M RAUM · 2 reps · 801-960-3228 · evestia.com
45
SPHINX INVESTMENTS LLC — reported RAUM down 29% ($64.7M -> $46.1M). IAPD ↗
$46.1M RAUM · 2 reps · 833-247-7833 · sphinxinvests.com
45
NAPLES WEALTH PLANNING — reported RAUM down 36% ($356.3M -> $226.9M). IAPD ↗
$226.9M RAUM · 10 reps · 239-330-4183 · napleswealthplanning.com
45
BREAKTHRU ADVISORY SERVICES, LLC — reported RAUM down 48% ($243.0M -> $125.7M). IAPD ↗
$125.7M RAUM · 2 reps · 4148375337 · breakthrufamily.com
75
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — grew from 75 to 153 advisory reps. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
61
OLYMPUS CAPITAL HOLDINGS ASIA LLC — grew from 15 to 23 advisory reps. IAPD ↗fund
$852.1M RAUM · 23 reps · 201-888-1703 · olympuscap.com
56
GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC — grew from 2 to 8 advisory reps. IAPD ↗fund
$155.4M RAUM · 8 reps · 203-202-8606 · guggenheiminvestments.com
55
AUGMENT ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗fund
$342.6M RAUM · 3 reps · 757-298-9839
55
WASATCH HEALTH PARTNERS — grew from 5 to 7 advisory reps. IAPD ↗fund
$495.2M RAUM · 7 reps · (385) 501-5979 · wasatch-health.com
53
CCM INVESTMENT GROUP, LLC — (NORTHFIELD, MN) left the SEC roster (was $951.6M RAUM, 2 reps). IAPD ↗institutional
$951.6M RAUM · 2 reps · 507-645-8887 · ccm-etf.com
52
MARBLE BAR ASSET MANAGEMENT LLP — grew from 26 to 38 advisory reps. IAPD ↗foreign
$3.57B RAUM · 38 reps · 44 (0) 20 3023 8100 · marblebar.com
50
AKSIA CA LLC — (SAN DIEGO, CA) left the SEC roster (was $2.08B RAUM, 28 reps). IAPD ↗fund
$2.08B RAUM · 28 reps · 858-456-6000 · aksia.com
50
TRUE PARTNER CAPITAL USA — (CHICAGO, IL) left the SEC roster (was $145.6M RAUM, 1 reps). IAPD ↗institutional
$145.6M RAUM · 1 reps · 312-961-5596 · truepartnercapital.com
50
OTTER ROCK ADVISORS LP — (STAMFORD, CT) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · 415-830-0509 · otterrocklp.com
50
NAYANA INVESTMENT MANAGEMENT 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 · 347-675-4780
50
SNOWBALL ADVISORS, LLC — (MIAMI BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · (212) 337-5215 · snowballetf.com
48
NITORUM CAPITAL, L.P. — (NEW YORK, NY) left the SEC roster (was $852.1M RAUM, 5 reps). IAPD ↗fund
$852.1M RAUM · 5 reps · 212-356-6300
45
AXEL CAPITAL MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $21.7M RAUM, 1 reps). IAPD ↗fund
$21.7M RAUM · 1 reps · 212-935-7111 · axelcapital.com
45
SKY CREEK CAPITAL MANAGEMENT — (location n/a) left the SEC roster (was $64,970 RAUM, 1 reps). IAPD ↗fund
$64,970 RAUM · 1 reps · (312)961-7577 · skycreekcap.com
45
SFERMION — (CHICAGO, IL) left the SEC roster (was $91.6M RAUM, 4 reps). IAPD ↗fund
$91.6M RAUM · 4 reps · 408-891-7991
45
GRIZZLY CAPITAL MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $34.2M RAUM, 5 reps). IAPD ↗fund
$34.2M RAUM · 5 reps · 585-201-2154
45
ALGEBRAIC CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗fund
$0 RAUM · 1 reps · 646-819-0012
45
PENN MUTUAL ASSET MANAGEMENT, LLC — shrank from 35 to 30 advisory reps. IAPD ↗institutional
$42.29B RAUM · 30 reps · 215-956-8114 · pennmutualam.com
45
FIDUCIARY CONSULTING GROUP — added office(s): 2 -> 3 additional locations. IAPD ↗institutional
$14.73B RAUM · 33 reps · 303-333-7770
45
CERITY PARTNERS RETIREMENT PLAN CONSULTANTS — added office(s): 29 -> 33 additional locations. IAPD ↗institutional
$40.25B RAUM · 153 reps · 212-850-4260
44
SPRINGS CAPITAL (HONG KONG) LIMITED — grew from 7 to 11 advisory reps. IAPD ↗foreign
$7.17B RAUM · 11 reps · 852-22591601/22591619 · springs-capital.com
43
TRILINC ADVISORS, LLC — shrank from 11 to 8 advisory reps. IAPD ↗institutional
$282.8M RAUM · 8 reps · 310-997-0580 · trilincglobal.com
42
SCHRODER WEALTH MANAGEMENT (US) LIMITED — grew from 3 to 5 advisory reps. IAPD ↗foreign
$1.40B RAUM · 5 reps · 00 44 (0)20 7658 6000 · schroders.com
40
ORIGAMI CAPITAL PARTNERS, LLC — shrank from 13 to 10 advisory reps. IAPD ↗fund
$1.48B RAUM · 10 reps · 312-263-7800
40
SAPPHIRE VENTURES, LLC — shrank from 30 to 22 advisory reps. IAPD ↗fund
$10.44B RAUM · 22 reps · 650-382-1110
40
AXXES ADVISORS LLC — shrank from 3 to 1 advisory reps. IAPD ↗institutional
$100,000 RAUM · 1 reps · 800-684-1006
40
AXXES ADVISORS I LLC — shrank from 3 to 1 advisory reps. IAPD ↗institutional
$6.8M RAUM · 1 reps · 800-684-1006 · axxescapital.com
40
LGT CAPITAL PARTNERS (USA) INC. — added office(s): 5 -> 7 additional locations. IAPD ↗fund
$59.78B RAUM · 49 reps · 212-336-0650 · lgtcp.com
40
WEALTHRAMP, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗institutional
$0 RAUM · 2 reps · (877) 260-9545 · wealthramp.com
38
BROCK FIDUCIARY SERVICES LLC — reported RAUM down 27% ($805.0M -> $588.2M). IAPD ↗institutional
$588.2M RAUM · 1 reps · 212-209-3000 · brockcapital.com
38
MAN GLOBAL PRIVATE MARKETS (USA) INC. — reported RAUM down 31% ($1.43B -> $988.2M). IAPD ↗institutional
$988.2M RAUM · 5 reps · 980 321 7560 · man.com
38
AUGMENT ADVISORS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$342.6M RAUM · 3 reps · 757-298-9839
37
LEGACY PRIVATE CLIENT SERVICES — grew from 1 to 3 advisory reps. IAPD ↗foreign
$0 RAUM · 3 reps · 514-782-5966
35
TRILINC GLOBAL ADVISORS, LLC — shrank from 11 to 8 advisory reps. IAPD ↗fund
$181.7M RAUM · 8 reps · 310-997-0580
35
EPILOG PARTNERS, LP. — shrank from 4 to 2 advisory reps. IAPD ↗fund
$181.6M RAUM · 2 reps · 203-263-1454
35
NOVAWAVE CAPITAL — shrank from 5 to 3 advisory reps. IAPD ↗fund
$90.0M RAUM · 3 reps · 781-710-3455 · novawavecapital.com
35
KELLY PARK INVESTMENT LLC — added office(s): 0 -> 1 additional locations. IAPD ↗fund
$241.5M RAUM · 3 reps · 212 710 4111 · kellyparkcapital.com
35
NOVAWAVE CAPITAL — added office(s): 4 -> 5 additional locations. IAPD ↗fund
$90.0M RAUM · 3 reps · 781-710-3455 · novawavecapital.com
33
OLYMPUS CAPITAL HOLDINGS ASIA LLC — reported RAUM down 34% ($1.29B -> $852.1M). IAPD ↗fund
$852.1M RAUM · 23 reps · 201-888-1703 · olympuscap.com
33
P2 CAPITAL PARTNERS, LLC — reported RAUM down 35% ($1.26B -> $824.4M). IAPD ↗fund
$824.4M RAUM · 9 reps · 212-508-5500 · p2capital.com
33
SFW CAPITAL PARTNERS LP — reported RAUM down 49% ($929.7M -> $476.8M). IAPD ↗fund
$476.8M RAUM · 6 reps · 914-510-8910 · sfwcap.com
33
FALL LINE CAPITAL, LLC — reported RAUM down 31% ($479.0M -> $332.4M). IAPD ↗fund
$332.4M RAUM · 10 reps · 650-235-4032 · fall-line-capital.com
33
HONTE ADVISORS LLC — reported RAUM down 38% ($668.5M -> $417.7M). IAPD ↗fund
$417.7M RAUM · 3 reps · 415-801-4250
33
CORINTHIA GLOBAL MANAGEMENT — reported RAUM down 26% ($1.20B -> $886.5M). IAPD ↗fund
$886.5M RAUM · 19 reps · +1 (980) 418-2215 · corinthiagm.com
30
ARIAS RESOURCE CAPITAL MANAGEMENT LP — reported RAUM down 48% ($174.2M -> $90.8M). IAPD ↗fund
$90.8M RAUM · 6 reps · 305-913-5402 · arc-fund.com
30
CONNECTIVE CAPITAL MANAGEMENT, LLC — reported RAUM down 26% ($312.5M -> $230.1M). IAPD ↗fund
$230.1M RAUM · 3 reps · (650) 321-4545 · connectcap.com
30
CENTRICUS ASSET MANAGEMENT LIMITED — (LONDON, United Kingdom) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗foreign
$0 RAUM · 1 reps · 44 (0) 20 7139 4500 · centricus.com
30
EQUITY STORY USA — (SYDNEY NSW, Australia) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · +61 488 424 441
30
VENICE CAPITAL LLC — (SAO PAULO, Brazil) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗foreign
$0 RAUM · 2 reps · +55 (11) 96406-9906
25
INFRARED CAPITAL PARTNERS LIMITED — added office(s): 0 -> 1 additional locations. IAPD ↗foreign
$14.30B RAUM · 53 reps · 44 0 20 7484 1800
25
VITTORIA AND PARTNERS LLP — added office(s): 7 -> 8 additional locations. IAPD ↗foreign
$3.65B RAUM · 2 reps · 02030393214 · vittoriapartners.com
20
LINDSELL TRAIN LIMITED — reported RAUM down 37% ($14.70B -> $9.25B). IAPD ↗foreign
$9.25B RAUM · 6 reps · 4420 7808 1210 · lindselltrain.com
20
KILTEARN PARTNERS — reported RAUM down 27% ($1.74B -> $1.27B). IAPD ↗foreign
$1.27B RAUM · 8 reps · 011 44 131 460 1040 · kiltearnpartners.com
18
COELI FRONTIER MARKETS AB — reported RAUM down 38% ($524.3M -> $325.2M). IAPD ↗foreign
$325.2M RAUM · 3 reps · +46850622300
15
RAISON ASSET MANAGEMENT — reported RAUM down 52% ($219.9M -> $106.1M). IAPD ↗foreign
$106.1M RAUM · 5 reps · +372 6600288 · wealth.raison.app

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.