← Tributary

Recruiting & transitions — September 2026

Recruiters, transition consultants, and firms hiring advisors.

206 firms opened this window in the September 2026 SEC roster: 88 new office, 76 deregistered, 22 headcount up, 13 headcount down, 7 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

77
RUBINBROWN ADVISORS LLC — grew from 21 to 28 advisory reps. IAPD ↗
$3.86B RAUM · 28 reps · 314-290-3300 · rubinbrownadvisors.com
74
BLEICHROEDER LP — grew from 6 to 10 advisory reps. IAPD ↗
$2.43B RAUM · 10 reps · (212) 984-3815 · bleichroederlp.com
73
ETHIC — grew from 10 to 13 advisory reps. IAPD ↗
$10.12B RAUM · 13 reps · (646) 687-6744
72
ARQ WEALTH ADVISORS, LLC — grew from 9 to 11 advisory reps. IAPD ↗
$1.21B RAUM · 11 reps · 480-214-9572 · arqwealth.com
71
TAMALPAIS ASSET MANAGEMENT — grew from 4 to 7 advisory reps. IAPD ↗
$262.5M RAUM · 7 reps · 415-723-8300 · tamalpaisam.com
71
EMPOWER WEALTH MANAGEMENT — grew from 5 to 8 advisory reps. IAPD ↗
$349.3M RAUM · 8 reps · 512-833-6557 · empoweringretirement.com
71
DESIGNED WEALTH USA LTD. — grew from 1 to 7 advisory reps. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
71
SILVER BIRCH FINANCIAL LLC — grew from 1 to 4 advisory reps. IAPD ↗
$399.5M RAUM · 4 reps · (802) 302-5122 · silverbirchfinancial.com
70
MACDOUGALL FINANCIAL COUNSELING — grew from 2 to 4 advisory reps. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
67
PACIFIC EXCEL WEALTH ADVISORS, INC. — grew from 1 to 3 advisory reps. IAPD ↗
$110.8M RAUM · 3 reps · (925) 464-7445
67
LUEDTKE & ASSOCIATES LLC — grew from 1 to 3 advisory reps. IAPD ↗
$248.2M RAUM · 3 reps · 262-626-4783
67
MANHATTAN WEALTH MANAGEMENT GROUP — grew from 1 to 3 advisory reps. IAPD ↗
$153.1M RAUM · 3 reps · 212-810-6961
67
CMG WEALTH ADVISORS LLC — grew from 1 to 3 advisory reps. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
65
CAPITAL ADVISORS, INC. — (TULSA, OK) left the SEC roster (was $7.43B RAUM, 35 reps). IAPD ↗
$7.43B RAUM · 35 reps · (866) 230-5879 · capadvfunds.com
65
TEACHERS ADVISORS, LLC — (NEW YORK, NY) left the SEC roster (was $436.33B RAUM, 296 reps). IAPD ↗
$436.33B RAUM · 296 reps · 212-490-9000
65
CHARTER OAK CAPITAL MANAGEMENT — (PORTSMOUTH, NH) left the SEC roster (was $1.57B RAUM, 13 reps). IAPD ↗
$1.57B RAUM · 13 reps · 800-646-5720
65
GIA PARTNERS, LLC. — (NEW YORK, NY) left the SEC roster (was $1.06B RAUM, 5 reps). IAPD ↗
$1.06B RAUM · 5 reps · 212-893-7810 · giallc.com
65
ANFIELD CAPITAL MANAGEMENT, LLC — (IRVINE, CA) left the SEC roster (was $2.16B RAUM, 7 reps). IAPD ↗
$2.16B RAUM · 7 reps · 949-891-0600 · anfieldfunds.com
65
LWM ADVISORY SERVICES, LLC — (PLANTATION, FL) left the SEC roster (was $1.09B RAUM, 8 reps). IAPD ↗
$1.09B RAUM · 8 reps · 954-474-7100 · lwmfl.com
65
WADDELL & ASSOCIATES, LLC — (MEMPHIS, TN) left the SEC roster (was $2.38B RAUM, 9 reps). IAPD ↗
$2.38B RAUM · 9 reps · 901-767-9187 · vimeo.com
65
ONE CHARLES PRIVATE WEALTH — (HINGHAM, MA) left the SEC roster (was $1.09B RAUM, 5 reps). IAPD ↗
$1.09B RAUM · 5 reps · 617-337-4208 · focusfinancialpartners.com
63
PALOUSE CAPITAL MANAGEMENT, INC. — (SPOKANE, WA) left the SEC roster (was $408.5M RAUM, 2 reps). IAPD ↗
$408.5M RAUM · 2 reps · (509) 624-5591 · palousecap.com
63
HSC WEALTH ADVISORS — (FOREST, VA) left the SEC roster (was $449.2M RAUM, 9 reps). IAPD ↗
$449.2M RAUM · 9 reps · 434-316-9356 · hscwealthadvisors.com
63
IMS CAPITAL MANAGEMENT — (CLACKAMAS, OR) left the SEC roster (was $380.9M RAUM, 7 reps). IAPD ↗
$380.9M RAUM · 7 reps · 503-788-4200
63
SEASCAPE CAPITAL MANAGEMENT,LLC — (PORTSMOUTH, NH) left the SEC roster (was $466.9M RAUM, 3 reps). IAPD ↗
$466.9M RAUM · 3 reps · (603)964-4480 · seascape-capital.com
63
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC — (PHOENIX, AZ) left the SEC roster (was $538.8M RAUM, 7 reps). IAPD ↗
$538.8M RAUM · 7 reps · 952-831-8243 · brettmachtig.com
63
CORDANT WEALTH PARTNERS — (PORTLAND, OR) left the SEC roster (was $370.5M RAUM, 5 reps). IAPD ↗
$370.5M RAUM · 5 reps · (503) 621-9207 · cordantwealth.com
63
FINANCIALLY IN TUNE — (STONEHAM, MA) left the SEC roster (was $326.2M RAUM, 4 reps). IAPD ↗
$326.2M RAUM · 4 reps · 781-587-0582 · financiallyintune.com
63
THE O'DONNELL GROUP — (CHICO, CA) left the SEC roster (was $492.0M RAUM, 2 reps). IAPD ↗
$492.0M RAUM · 2 reps · 530-564-0960
63
HOLISTIC FINANCIAL PARTNERS, LLC — (INDIANAPOLIS, IN) left the SEC roster (was $444.6M RAUM, 4 reps). IAPD ↗
$444.6M RAUM · 4 reps · 317-550-3400 · holisticfinancialpartners.com
63
SENECA HOUSE ADVISORS — (RICHMOND, VA) left the SEC roster (was $506.1M RAUM, 4 reps). IAPD ↗
$506.1M RAUM · 4 reps · (804) 332-6574 · senecahouseadvisors.com
63
MIRAMAR CAPITAL — (NORTHBROOK, IL) left the SEC roster (was $550.3M RAUM, 3 reps). IAPD ↗
$550.3M RAUM · 3 reps · 847-291-7300
63
RUNNING POINT CAPITAL ADVISORS LLC — (EL SEGUNDO, CA) left the SEC roster (was $745.6M RAUM, 6 reps). IAPD ↗
$745.6M RAUM · 6 reps · 424-502-3501 · runningpointcapital.com
63
EATON FINANCIAL GROUP — (CORAL SPRINGS, FL) left the SEC roster (was $382.2M RAUM, 1 reps). IAPD ↗
$382.2M RAUM · 1 reps · 954-575-9323
63
TRUE VISION FINANCIAL ADVISORS — (WOODBURY, MN) left the SEC roster (was $271.7M RAUM, 3 reps). IAPD ↗
$271.7M RAUM · 3 reps · 612-256-2208 · truevisionadvice.com
63
EVERNEST FINANCIAL ADVISORS — (CARMEL, IN) left the SEC roster (was $963.0M RAUM, 5 reps). IAPD ↗
$963.0M RAUM · 5 reps · 317-556-1015 · evernestfa.com
60
PROFIT INVESTMENTS — (NORTH BETHESDA, MD) left the SEC roster (was $26.8M RAUM, 2 reps). IAPD ↗
$26.8M RAUM · 2 reps · 301-650-0059
60
HFG ADVISORS — (GREENWOOD VILLAGE, CO) left the SEC roster (was $108.8M RAUM, 4 reps). IAPD ↗
$108.8M RAUM · 4 reps · 303-369-3800 · hfgcolorado.com
60
AMERICAN ASSET MANAGEMENT INC. — (BOCA RATON, FL) left the SEC roster (was $153.3M RAUM, 1 reps). IAPD ↗
$153.3M RAUM · 1 reps · 561-955-8500 · americanasset.com
60
EAGLESON ARNDT FINANCIAL ADVISORS — (THOUSAND OAKS, CA) left the SEC roster (was $106.6M RAUM, 1 reps). IAPD ↗
$106.6M RAUM · 1 reps · 805-496-8450
60
DIPSEA CAPITAL, LLC — (MILL VALLEY, CA) left the SEC roster (was $61.3M RAUM, 1 reps). IAPD ↗
$61.3M RAUM · 1 reps · 415-925-9022
60
UP FINTECH ASSET MANAGEMENT — (NEWTOWN SQUARE, PA) left the SEC roster (was $1.5M RAUM, 2 reps). IAPD ↗
$1.5M RAUM · 2 reps · 480-631-4700 · upfintecham.com
60
DIAMOND WEALTH MANAGEMENT, LLC — (ALPINE, UT) left the SEC roster (was $212.0M RAUM, 6 reps). IAPD ↗
$212.0M RAUM · 6 reps · 801-216-4811 · diamondwealthmgt.com
60
MARATHON WEALTH MANAGEMENT, INC. — (MELVILLE, NY) left the SEC roster (was $150.5M RAUM, 1 reps). IAPD ↗
$150.5M RAUM · 1 reps · (631) 760-8385 · marathonwealth.net
60
KOWALSKI FINANCIAL INC. — (MINNEAPOLIS, MN) left the SEC roster (was $202.0M RAUM, 2 reps). IAPD ↗
$202.0M RAUM · 2 reps · 952-297-8589
60
CLEARVIEW WEALTH ADVISORS, LLC — (SALEM, OR) left the SEC roster (was $201.8M RAUM, 2 reps). IAPD ↗
$201.8M RAUM · 2 reps · 503-400-7800
60
TROVE INVESTMENT ADVISORS LLC — (DALLAS, TX) left the SEC roster (was $387,586 RAUM, 1 reps). IAPD ↗
$387,586 RAUM · 1 reps · 469-655-0025 · troveadvisors.com
60
REDMONT WEALTH — (CHICAGO, IL) left the SEC roster (was $4.8M RAUM, 1 reps). IAPD ↗
$4.8M RAUM · 1 reps · 312-848-1136
60
UNITY WEALTH PARTNERS — (NEWPORT BEACH, CA) left the SEC roster (was $7.1M RAUM, 2 reps). IAPD ↗
$7.1M RAUM · 2 reps · (949) 688-0928 · unitywealthpartners.com
60
HERBEIN FINANCIAL GROUP, LLC — (ALLENTOWN, PA) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗
$0 RAUM · 2 reps · 484-509-1136 · herbein.com
60
AURORA WEALTH ADVISORS — (SAN DIEGO, CA) left the SEC roster (was $148.8M RAUM, 2 reps). IAPD ↗
$148.8M RAUM · 2 reps · 858-326-0046 · aurorawealth.com
60
ACCESS CAPITAL, LLC — (WICHITA, KS) left the SEC roster (was $105.6M RAUM, 1 reps). IAPD ↗
$105.6M RAUM · 1 reps · 316-633-8013 · accesscapitaladvisors.com
60
INNOVATIVE FAMILY OFFICE LLC — (SOMERS, NY) left the SEC roster (was $65.8M RAUM, 8 reps). IAPD ↗
$65.8M RAUM · 8 reps · (914) 427-8036 · innovativefo.com
60
EMPOWER PRIVATE WEALTH — (NEW YORK, NY) left the SEC roster (was $34.5M RAUM, 1 reps). IAPD ↗
$34.5M RAUM · 1 reps · 941-340-0404 · empowerpw.com
60
US FINANCIAL PLANNERS, LLC — (ASHEVILLE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 7 reps). IAPD ↗
$0 RAUM · 7 reps · 980-286-1170 · usfinancialplanners.com
60
EMBERVEST — (location n/a) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 322-536-2326 · embervest.com
60
GRAY LION CAPITAL — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $7.0M RAUM, 1 reps). IAPD ↗
$7.0M RAUM · 1 reps · 480-284-0384 · graylioncapital.com
60
CATTON CAPITAL PARTNERS, LLC — (SAN FRANCISCO, CA) left the SEC roster — its 120-day provisional registration did not convert (was $39.6M RAUM, 2 reps). IAPD ↗
$39.6M RAUM · 2 reps · 415-234-0470
60
PROPEL PRIVATE WEALTH LLC — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $2.8M RAUM, 1 reps). IAPD ↗
$2.8M RAUM · 1 reps · (424) 222-5767 · propelprivatewealth.com
60
JM FINANCIAL PRIVATE WEALTH, INC. — (NEW YORK, NY) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps). IAPD ↗
$0 RAUM · 1 reps · 1-332-900-4958
55
NOTTINGHAM ADVISORS INC. — shrank from 9 to 7 advisory reps. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
55
TEAMWORK FINANCIAL ADVISORS, LLC — shrank from 14 to 11 advisory reps. IAPD ↗
$1.01B RAUM · 11 reps · 210-687-1333 · teamworkfinancial.com
55
VENTURI PRIVATE WEALTH — shrank from 19 to 12 advisory reps. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
55
FAITHWARD CAPITAL — shrank from 3 to 1 advisory reps. IAPD ↗
$1.18B RAUM · 1 reps · (844) 970-4055 · sevenonesevencapital.com
55
NOTTINGHAM ADVISORS INC. — added office(s): 4 -> 5 additional locations. IAPD ↗
$1.43B RAUM · 7 reps · 716-633-3800 · yelp.com
55
1834 INVESTMENT ADVISORS CO. — added office(s): 9 -> 10 additional locations. IAPD ↗
$2.20B RAUM · 30 reps · (414) 615-1012 · 1834investmentadvisors.com
55
DRIEHAUS CAPITAL MANAGEMENT LLC — added office(s): 0 -> 3 additional locations. IAPD ↗
$26.12B RAUM · 27 reps · 312-587-3800
55
ROFFMAN MILLER ASSOCIATES INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$3.20B RAUM · 14 reps · 215-981-1030 · roffmanmiller.com
55
PLANCORP, LLC — added office(s): 11 -> 12 additional locations. IAPD ↗
$10.63B RAUM · 52 reps · (636) 532-7824
55
OAKTREE CAPITAL MANAGEMENT, L.P. — added office(s): 16 -> 17 additional locations. IAPD ↗
$183.29B RAUM · 282 reps · 213-830-6300
55
INVESTMENT CONSULTING GROUP INC — added office(s): 0 -> 1 additional locations. IAPD ↗
$2.84B RAUM · 3 reps · 563-322-2322 · investmentconsultinggroupinc.com
55
CORDA INVESTMENT MANAGEMENT, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$2.00B RAUM · 26 reps · 713-439-0665 · cordamanagement.com
55
FORVIS MAZARS WEALTH ADVISORS, LLC — added office(s): 62 -> 65 additional locations. IAPD ↗
$12.01B RAUM · 82 reps · 417.831.7283 · forvismazars.us
55
FOCUS FINANCIAL — added office(s): 35 -> 36 additional locations. IAPD ↗
$6.82B RAUM · 114 reps · 651-631-8166 · focusfinancial.com
55
SAX WEALTH ADVISORS, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$3.60B RAUM · 37 reps · 973-859-2199
55
GENERATION CAPITAL MANAGEMENT LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$1.15B RAUM · 1 reps · 585-232-8560
55
PROSPERITY - AN EISNERAMPER COMPANY — added office(s): 13 -> 14 additional locations. IAPD ↗
$5.04B RAUM · 60 reps · 410-363-7211 · prosperityconsult.com
55
ELEVATION POINT WEALTH PARTNERS, LLC — added office(s): 12 -> 13 additional locations. IAPD ↗
$8.29B RAUM · 54 reps · 303-382-2880
55
PURE FINANCIAL ADVISORS, LLC — added office(s): 12 -> 13 additional locations. IAPD ↗
$11.05B RAUM · 76 reps · 866-876-7873
55
FORUM FINANCIAL MANAGEMENT, LP — added office(s): 54 -> 59 additional locations. IAPD ↗
$8.69B RAUM · 94 reps · (630) 873-8520
55
SEACREST WEALTH MANAGEMENT, LLC — added office(s): 21 -> 22 additional locations. IAPD ↗
$1.53B RAUM · 36 reps · 914-502-1900 · seacrestwm.com
55
EVERMAY WEALTH MANAGEMENT, LLC — added office(s): 5 -> 7 additional locations. IAPD ↗
$1.33B RAUM · 17 reps · 703 822-5696
55
ALPHA OMEGA WEALTH MANAGEMENT, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$1.02B RAUM · 9 reps · 804-955-1600
55
ELWOOD & GOETZ — added office(s): 3 -> 6 additional locations. IAPD ↗
$1.07B RAUM · 26 reps · 706-548-1025
55
KINTEGRAL ADVISORY, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$2.14B RAUM · 10 reps · 646-519-4333
55
BEIRNE. — added office(s): 1 -> 2 additional locations. IAPD ↗
$2.26B RAUM · 5 reps · 203-701-8606
55
VENTURI PRIVATE WEALTH — added office(s): 1 -> 2 additional locations. IAPD ↗
$3.58B RAUM · 12 reps · 208-368-9600 · venturiwealth.com
55
SYMPHONY FINANCIAL, LTD. CO. — added office(s): 6 -> 7 additional locations. IAPD ↗
$1.35B RAUM · 23 reps · 281-272-6800 · thegreensagegroup.com
55
CAPTRUST WEALTH ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$2.00B RAUM · 20 reps · (616) 392-5332 · ctwealth.com
55
ALPHACORE CAPITAL LLC — added office(s): 27 -> 30 additional locations. IAPD ↗
$12.96B RAUM · 70 reps · 858-875-4100 · alphacore.com
55
THE FIDUCIARY ALLIANCE — added office(s): 23 -> 26 additional locations. IAPD ↗
$2.53B RAUM · 45 reps · 864-385-7999
55
XYPN SAPPHIRE — added office(s): 38 -> 39 additional locations. IAPD ↗
$1.25B RAUM · 60 reps · (360) 301-7579 · deltalakewm.com
55
CORNERSTONE WEALTH — added office(s): 7 -> 8 additional locations. IAPD ↗
$2.49B RAUM · 50 reps · 704-987-3410
55
CATALYST FINANCIAL PARTNERS — added office(s): 2 -> 3 additional locations. IAPD ↗
$1.72B RAUM · 6 reps · 617-239-8101
55
ONEPOINT BFG WEALTH PARTNERS — added office(s): 21 -> 22 additional locations. IAPD ↗
$15.13B RAUM · 104 reps · (973) 575-4180
55
ETHOS FINANCIAL GROUP, LLC — added office(s): 8 -> 9 additional locations. IAPD ↗
$2.14B RAUM · 33 reps · 610-822-5246
55
TRIAD WEALTH PARTNERS, LLC — added office(s): 28 -> 29 additional locations. IAPD ↗
$1.53B RAUM · 33 reps · 785-830-0000
55
FOGUTH WEALTH MANAGEMENT, LLC. — added office(s): 14 -> 15 additional locations. IAPD ↗
$1.07B RAUM · 32 reps · (810) 522-5650
55
DIVERSIFY WEALTH MANAGEMENT, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$4.11B RAUM · 70 reps · 8018389999 · caliberwealthmanagement.com
55
DIVERSIFIED, LLC — added office(s): 10 -> 11 additional locations. IAPD ↗
$2.79B RAUM · 34 reps · 302-765-3500
55
TANARA WEALTH MANAGEMENT LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$1.09B RAUM · 5 reps · 801-653-0564 · tanarawm.com
53
LAS OLAS CAPITAL ADVISORS, LLC — shrank from 7 to 4 advisory reps. IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
53
RICHMOND INVESTMENT SERVICES LLC — shrank from 14 to 11 advisory reps. IAPD ↗
$453.2M RAUM · 11 reps · 262-242-4200
53
LAS OLAS CAPITAL WEALTH LLC — shrank from 6 to 4 advisory reps. IAPD ↗
$269.1M RAUM · 4 reps · 954 289 4692 · lasolascap.com
53
MACDOUGALL FINANCIAL COUNSELING — added office(s): 0 -> 1 additional locations. IAPD ↗
$424.8M RAUM · 4 reps · 724-468-1300
53
NEW PERSPECTIVES, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$308.7M RAUM · 4 reps · 601-991-3158 · newper.com
53
REAP FINANCIAL GROUP, LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$648.2M RAUM · 6 reps · 512-249-7300 · reapfinancial.com
53
FAI CAPITAL MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$842.1M RAUM · 3 reps · 813-874-6621
53
LANTERN WEALTH ADVISORS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$319.9M RAUM · 26 reps · 631-454-2000 · heroldlantern.com
53
FIDUCIARY FINANCIAL PARTNERS, LLC — added office(s): 4 -> 5 additional locations. IAPD ↗
$293.3M RAUM · 5 reps · 630-780-1534 · fiduciaryfinancialpartners.com
53
AQUILANT ADVISORS — added office(s): 0 -> 1 additional locations. IAPD ↗
$278.8M RAUM · 2 reps · 314-309-2078
53
DENVER WEALTH MANAGEMENT, INC. — added office(s): 3 -> 4 additional locations. IAPD ↗
$529.8M RAUM · 9 reps · (303) 261-8015
53
STRATA WEALTH ADVISORS, LLC — added office(s): 9 -> 10 additional locations. IAPD ↗
$886.1M RAUM · 9 reps · (214) 420-7020 · stratawealth.com
53
CAPITAL SQUARE, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$449.9M RAUM · 11 reps · 423-877-6708
53
MARTHA'S VINEYARD INVESTMENT ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$342.9M RAUM · 4 reps · (508) 693-8850 · mvinvestmentadvisors.com
53
TAMALPAIS ASSET MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$262.5M RAUM · 7 reps · 415-723-8300 · tamalpaisam.com
53
CONVERGENCE FINANCIAL — added office(s): 14 -> 15 additional locations. IAPD ↗
$904.0M RAUM · 13 reps · (573) 818-2264
53
EMPOWER WEALTH MANAGEMENT — added office(s): 2 -> 3 additional locations. IAPD ↗
$349.3M RAUM · 8 reps · 512-833-6557 · empoweringretirement.com
53
BLACK KNIGHT WEALTH MANAGEMENT, LLC — added office(s): 8 -> 9 additional locations. IAPD ↗
$539.2M RAUM · 10 reps · 972-786-6527 · opgadvisors.com
53
ELYSIUM WEALTH MANAGEMENT, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗
$352.3M RAUM · 10 reps · 385-276-4716 · saltwealthpartners.com
53
FORTRESS FINANCIAL GROUP, LLC — added office(s): 1 -> 3 additional locations. IAPD ↗
$352.3M RAUM · 7 reps · (507) 529-1400 · retireandthrive.net
53
OUTWING PRIVATE WEALTH MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$332.8M RAUM · 2 reps · (805) 880-9491 · outwingwealth.com
53
MARIDEA WEALTH MANAGEMENT — added office(s): 18 -> 19 additional locations. IAPD ↗
$958.7M RAUM · 26 reps · 347-289-5227
50
INTEGRATED FINANCIAL STRATEGIES, LLC — shrank from 5 to 0 advisory reps. IAPD ↗
$0 RAUM · 0 reps · 954-526-8339
50
SOONER PRIVATE FINANCIAL LLC — shrank from 3 to 1 advisory reps. IAPD ↗
$9.0M RAUM · 1 reps · 603-321-6531
50
GLOBAL BROKERAGE SERVICES, INC. — added office(s): 3 -> 4 additional locations. IAPD ↗
$162.8M RAUM · 6 reps · 410-785-4990 · globalbrokers.net
50
WILLIAM B. WALKUP & ASSOCIATES, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$178.3M RAUM · 4 reps · 803-462-9395
50
MILLER WEALTH ADVISORS, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$225.5M RAUM · 3 reps · (713) 252-1661 · miller-wealthadvisors.com
50
PACIFIC EXCEL WEALTH ADVISORS, INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$110.8M RAUM · 3 reps · (925) 464-7445
50
BALANCED WEALTH MANAGEMENT, LLC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$102.0M RAUM · 2 reps · (401) 398-2000
50
KERR WEALTH MANAGEMENT — added office(s): 1 -> 2 additional locations. IAPD ↗
$131.0M RAUM · 4 reps · (559) 277-4772 · kerrwealth.com
50
ARROW WEALTH ADVISORS — added office(s): 1 -> 2 additional locations. IAPD ↗
$121.2M RAUM · 2 reps · 210-541-9967
50
ADVANCED PLANNING ADVISORS GROUP INC. — added office(s): 0 -> 1 additional locations. IAPD ↗
$120.4M RAUM · 2 reps · 630-780-1099 · apadvisorsgroup.com
50
SOLYCO WEALTH LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$116.2M RAUM · 5 reps · 947-208-4035
50
WINDWARD MANAGEMENT LP — added office(s): 0 -> 2 additional locations. IAPD ↗
$191.6M RAUM · 3 reps · 772-304-4901 · windwardmg.com
50
BUCHANAN WEALTH MANAGEMENT — added office(s): 0 -> 1 additional locations. IAPD ↗
$212.0M RAUM · 2 reps · 703-956-2633
50
FJELL CAPITAL — added office(s): 1 -> 2 additional locations. IAPD ↗
$187.0M RAUM · 3 reps · 701-491-7600
50
BAM WEALTH MANAGEMENT LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$202.0M RAUM · 8 reps · 303-531-5055 · bamadvisorygroup.com
50
RHL GROUP, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$155.1M RAUM · 2 reps · 248-634-7720 · rhlgroup.us
50
QUANTITATIVE FINANCIAL STRATEGIES — added office(s): 0 -> 2 additional locations. IAPD ↗
$156.2M RAUM · 2 reps · 714-300-5143 · quantitativefinancialstrategies.com
50
BXM WEALTH LLC — added office(s): 2 -> 3 additional locations. IAPD ↗
$231.3M RAUM · 5 reps · 303-704-2592 · bxmwealth.com
50
STRICKLER INVESTMENT SERVICES, LLC — added office(s): 1 -> 2 additional locations. IAPD ↗
$107.3M RAUM · 3 reps · 5176189000 · stricklerfinancial.com
50
ADVICEONLY — added office(s): 5 -> 9 additional locations. IAPD ↗
$0 RAUM · 5 reps · (619) 374- 2261 · adviceonly.com
50
DESIGNED WEALTH USA LTD. — added office(s): 0 -> 7 additional locations. IAPD ↗
$5.3M RAUM · 7 reps · 416-898-5568 · designedwealth-usa.com
50
MANHATTAN WEALTH MANAGEMENT GROUP — added office(s): 0 -> 2 additional locations. IAPD ↗
$153.1M RAUM · 3 reps · 212-810-6961
50
CMG WEALTH ADVISORS LLC — added office(s): 0 -> 4 additional locations. IAPD ↗
$138.4M RAUM · 3 reps · 608-897-9265 · cmgwealthadvisors.com
50
BISON WEALTH MANAGEMENT, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$131.0M RAUM · 3 reps · 216-270-4425 · bisonllc.com
50
ANCHOR & OAK WEALTH ADVISORS, LLC — added office(s): 3 -> 4 additional locations. IAPD ↗
$0 RAUM · 3 reps · 516-662-2546
50
ROTHSCHILD FINANCIAL PARTNERS, LLC — added office(s): 0 -> 1 additional locations. IAPD ↗
$0 RAUM · 2 reps · 630-448-5711
48
WAYPOINT WEALTH COUNSEL LLC — reported RAUM down 47% ($824.3M -> $433.3M). IAPD ↗
$433.3M RAUM · 3 reps · 404-955-7481 · waypointwc.com
48
TSFG, LLC — reported RAUM down 36% ($997.2M -> $642.8M). IAPD ↗
$642.8M RAUM · 6 reps · 847-735-7100
48
LAS OLAS CAPITAL ADVISORS, LLC — reported RAUM down 52% ($551.9M -> $267.2M). IAPD ↗
$267.2M RAUM · 4 reps · 954-289-4692
45
PENSERRA GLOBAL INVESTORS LLC — reported RAUM down 100% ($96.2M -> $2). IAPD ↗
$2 RAUM · 10 reps · 800-456-8850 · penserra.com
45
MFT WEALTH MANAGEMENT — reported RAUM down 78% ($136.3M -> $30.6M). IAPD ↗
$30.6M RAUM · 1 reps · 617-800-7922
67
COLUMBIA CAPITAL — grew from 13 to 25 advisory reps. IAPD ↗fund
$13.84B RAUM · 25 reps · 703-519-2000 · colcap.com
66
GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC — grew from 0 to 6 advisory reps. IAPD ↗institutional
$1.44B RAUM · 6 reps · 2125189542 · guggenheimpartners.com
63
UPLIFT — grew from 8 to 16 advisory reps. IAPD ↗fund
$1.08B RAUM · 16 reps · 908-256-4073
62
STONERIDGE PMG ADVISORS, LLC — grew from 2 to 6 advisory reps. IAPD ↗institutional
$774.2M RAUM · 6 reps · 484-254-5400 · srpmga.com
62
CORGI STRATEGIES, LLC — grew from 1 to 5 advisory reps. IAPD ↗institutional
$825.1M RAUM · 5 reps · 855-552-6744 · founderledfunds.com
62
SKYLAR CAPITAL MANAGEMENT LP — grew from 2 to 11 advisory reps. IAPD ↗fund
$437.7M RAUM · 11 reps · (713) 341-7942
60
DIAMETER CAPITAL PARTNERS LP — grew from 62 to 67 advisory reps. IAPD ↗fund
$28.76B RAUM · 67 reps · 212-655-1400 · diametercap.com
57
PAVAKI CAPITAL MANAGEMENT, LLC — grew from 2 to 6 advisory reps. IAPD ↗fund
$410.1M RAUM · 6 reps · 719-542-7223 · spotifyanchor-web.app.link
55
EPFC CAPITAL PARTNERS — (NEW YORK, NY) left the SEC roster (was $1.99B RAUM, 11 reps). IAPD ↗institutional
$1.99B RAUM · 11 reps · 929-447-0490 · epfc.capital
55
GLD ADVISORS, LLC — grew from 1 to 3 advisory reps. IAPD ↗fund
$257.3M RAUM · 3 reps · 212-257-5790
50
STONERIDGE INVESTMENT PARTNERS — (RADNOR, PA) left the SEC roster (was $152.3M RAUM, 6 reps). IAPD ↗institutional
$152.3M RAUM · 6 reps · 484-254-5400 · stoneridgeinvestments.com
50
MAZARS WEALTH ADVISORS — (NEW YORK, NY) left the SEC roster (was $0 RAUM, 0 reps). IAPD ↗institutional
$0 RAUM · 0 reps · 212-812-7000
50
CANTILLON CAPITAL MANAGEMENT LLC — (NEW YORK, NY) left the SEC roster (was $22.77B RAUM, 8 reps). IAPD ↗fund
$22.77B RAUM · 8 reps · 212-603-3300 · cantillon.com
50
INSIGHT INVESTMENT RESEARCH — (location n/a) left the SEC roster (was $0 RAUM, 2 reps). IAPD ↗institutional
$0 RAUM · 2 reps · +44 203 397 9182 · insightir.com
50
ONE STONE GLOBAL LLC — (BOSTON, MA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 347-264-2399 · onestoneglobal.com
50
ADLER ASSET MANAGEMENT, LLC — (NEW YORK, NY) left the SEC roster (was $4.4M RAUM, 1 reps). IAPD ↗institutional
$4.4M RAUM · 1 reps · 646-571-2595 · adlervaluefund.com
50
QUADRATURE US INC. — (NEW YORK, NY) left the SEC roster (was $28.80B RAUM, 120 reps). IAPD ↗fund
$28.80B RAUM · 120 reps · 2125164800
50
MPACT CAPITAL — (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 3 reps). IAPD ↗institutional
$0 RAUM · 3 reps · 917-348-8649 · mpactcap.com
50
SANDPATH 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 · 914 886 3119
50
FORVM GLOBAL INVESTMENTS 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 · 212-713-1680 EXT 3 · forvmglobal.com
50
ORION PARTNERS, LLC — (SAN FRANCISCO, CA) left the SEC roster (was $0 RAUM, 1 reps). IAPD ↗institutional
$0 RAUM · 1 reps · 3107952188
48
OAKUM BAY CAPITAL, LLC — (location n/a) left the SEC roster (was $374.0M RAUM, 1 reps). IAPD ↗fund
$374.0M RAUM · 1 reps · 475-477-3301 · oakumbaycapital.com
48
VOLT INVESTMENT HOLDINGS LLC — (BROOKLYN, NY) left the SEC roster (was $383.5M RAUM, 4 reps). IAPD ↗fund
$383.5M RAUM · 4 reps · 917-983-0505 · voltinvestmentholdings.com
48
SYMBIOSIS CAPITAL PARTNERS, LLC — (BENTONVILLE, AR) left the SEC roster (was $357.2M RAUM, 6 reps). IAPD ↗fund
$357.2M RAUM · 6 reps · 4793786655
48
TAPROOT MANAGEMENT LP — (NEW YORK, NY) left the SEC roster (was $940.1M RAUM, 15 reps). IAPD ↗fund
$940.1M RAUM · 15 reps · (646) 846-4427 · taprootmanagement.com
45
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C. — (SUGAR LAND, TX) left the SEC roster (was $23.5M RAUM, 1 reps). IAPD ↗fund
$23.5M RAUM · 1 reps · 281-778-4900 · rmpwm.com
45
LIONSTONE INVESTMENTS — (BOSTON, MA) left the SEC roster (was $224.4M RAUM, 0 reps). IAPD ↗fund
$224.4M RAUM · 0 reps · 8002252365 · lionstoneinvestments.com
45
MIURA GLOBAL MANAGEMENT, LLC — (location n/a) left the SEC roster (was $150.2M RAUM, 3 reps). IAPD ↗fund
$150.2M RAUM · 3 reps · 212-984-8832
45
AMS CHILDREN'S FUND, LP — (location n/a) left the SEC roster (was $15.2M RAUM, 1 reps). IAPD ↗fund
$15.2M RAUM · 1 reps · 214-716-0786 · amsopportunities.com
45
ARCTIS GLOBAL LLC — (location n/a) left the SEC roster (was $106.0M RAUM, 1 reps). IAPD ↗fund
$106.0M RAUM · 1 reps · 001 787 525 9031 · arctisglobal.com
45
FLATIRON FUND MANAGEMENT LP — (WEST PALM BEACH, FL) left the SEC roster — its 120-day provisional registration did not convert (was $27.3M RAUM, 2 reps). IAPD ↗fund
$27.3M RAUM · 2 reps · 561-412-4929 · flatironassets.com
45
MRWM CAPITAL MANAGEMENT, LLC — (NASHVILLE, TN) left the SEC roster (was $8.8M RAUM, 2 reps). IAPD ↗fund
$8.8M RAUM · 2 reps · (615) 647-5882
45
VIRIDIAN CAPITAL — (PURCHASE, NY) left the SEC roster (was $33.2M RAUM, 5 reps). IAPD ↗fund
$33.2M RAUM · 5 reps · 914-589-5969
45
MPI INFINITE INVESTORS, LLC — (GILBERT, AZ) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 2 reps). IAPD ↗fund
$0 RAUM · 2 reps · 480-695-3214 · mpiinfiniteinvestors.com
45
HAVEN CAPITAL ADVISORS, LLC — (CHARLOTTE, NC) left the SEC roster — its 120-day provisional registration did not convert (was $5.4M RAUM, 1 reps). IAPD ↗fund
$5.4M RAUM · 1 reps · 704-926-2018
45
CALLODINE STRATEGIC CREDIT FUND III MANAGEMENT, LLC — (ATLANTA, GA) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 4 reps). IAPD ↗fund
$0 RAUM · 4 reps · 404-795-6468 · callodinesbic.com
45
MERK INVESTMENTS LLC — shrank from 5 to 3 advisory reps. IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
45
OAKTREE FUND ADVISORS, LLC — added office(s): 11 -> 12 additional locations. IAPD ↗institutional
$14.10B RAUM · 225 reps · 213-830-6300 · osc.brookfieldoaktree.com
40
MERK INVESTMENTS LLC — reported RAUM down 32% ($3.71B -> $2.54B). IAPD ↗institutional
$2.54B RAUM · 3 reps · 650-323-4341
40
PETERSON PARTNERS — shrank from 27 to 20 advisory reps. IAPD ↗fund
$2.63B RAUM · 20 reps · 801-417-0748 · petersonpartners.com
40
CAPSTONE INVESTMENT ADVISORS, LLC — added office(s): 6 -> 7 additional locations. IAPD ↗fund
$91.53B RAUM · 115 reps · 212-232-1420
40
ACCEL-KKR — added office(s): 3 -> 4 additional locations. IAPD ↗fund
$23.81B RAUM · 79 reps · 650-289-2460
40
BOOTHBAY FUND MANAGEMENT — added office(s): 2 -> 3 additional locations. IAPD ↗fund
$17.99B RAUM · 18 reps · 212-332-2676
40
WARWICK INVESTMENT GROUP, LLC — added office(s): 1 -> 3 additional locations. IAPD ↗fund
$2.05B RAUM · 13 reps · 405-607-3400
40
LMR PARTNERS LLC — added office(s): 6 -> 7 additional locations. IAPD ↗fund
$140.11B RAUM · 66 reps · 646-891-5701 · lmrpartners.com
38
AETHON ENERGY MANAGEMENT — shrank from 14 to 7 advisory reps. IAPD ↗fund
$700.1M RAUM · 7 reps · 214-750-3820
38
DEEPWATER ASSET MANAGEMENT, LLC — shrank from 8 to 5 advisory reps. IAPD ↗fund
$566.5M RAUM · 5 reps · 612-424-1393
38
MONTICELLOAM, LLC — added office(s): 5 -> 6 additional locations. IAPD ↗fund
$923.3M RAUM · 62 reps · 646-844-3600
35
RICHARD BERNSTEIN ADVISORS LLC — reported RAUM down 95% ($3.79B -> $180.8M). IAPD ↗institutional
$180.8M RAUM · 7 reps · 212-692-4000 · rbadvisors.com
35
CANTILLON CAPITAL MANAGEMENT LLP — (LONDON, United Kingdom) left the SEC roster (was $22.77B RAUM, 6 reps). IAPD ↗foreign
$22.77B RAUM · 6 reps · 44 (0) 20 7811 4100 · cantillon.com
30
ETNA CAPITAL — (HONG KONG, Hong Kong) left the SEC roster (was $143.3M RAUM, 5 reps). IAPD ↗foreign
$143.3M RAUM · 5 reps · 85228188309 · etnalabs.co
20
RICHARDSON WEALTH (USA) LIMITED — added office(s): 12 -> 16 additional locations. IAPD ↗foreign
$243.9M RAUM · 74 reps · 1-855-204-7467 · usa.richardsonwealth.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.