What changed in 2026-04

Comparing the SEC's 2026-03-01 and 2026-04-01 Form ADV snapshots.

Newly registered

170

Deregistered

155

Newly disclosed

132

Major asset moves

Firms newly reporting a disclosure

These firms answered Yes this month to an Item 11 question they answered No to the month before. That can reflect a new event, or an amended filing of an older one.

Ac Investment Management LLC · New York, NY

A self-regulatory organization found a violation of its rules

Agincourt Capital Management, LLC · Richmond, VA

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Alexander Capital Wealth Management LLC · Red Bank, NJ

Another regulator denied, suspended, or revoked a registration or restricted activity

Alta Capital Management LLC · Salt Lake City, UT

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Amundi US · Boston, MA

Another regulator denied, suspended, or revoked a registration or restricted activity

Aperture Advisors LLC

Any disclosure event involving the firm or its supervised persons

Ares Systematic Credit Limited · London

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Ark Wealth Management · Austin, TX

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Arkadios Wealth Advisors · Atlanta, GA

A self-regulatory organization found a violation of its rules

Artemis Real Estate Partners · Chevy Chase, MD

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)

Axa Investment Managers US Inc · Stamford, CT

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)

Bay Hills Capital Management, LLC · San Francisco, CA

A court found involvement in a violation of investment-related statutes or regulations

Bison Wealth, LLC · Atlanta, GA

Another regulator found a violation of investment-related regulations or statutes

Bullseye Investment Management, LLC · Cincinnciati, OH

Another regulator found a violation of investment-related regulations or statutes

Bulltick4u Advisor, LLC · Miami, FL

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Cambridge Investment Research Advisors, Inc. · Fairfield, IA

An authorization to act as an attorney, accountant, or federal contractor was revoked or suspended

Cantor Fitzgerald Energy Advisors, LLC · New York, NY

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Cg Advisory Services · Williamston, MI

A court dismissed an investment-related civil action under a settlement agreement

Charles Schwab & Co., Inc. · San Francisco, CA

Charged with a felony (past 10 years)

Commonwealth Credit Advisors, LLC · West Palm Beach, FL

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Comvest Advisors LLC · West Palm Beach, FL

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Comvest Credit Advisors, LLC · West Palm Beach, FL

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Comvest Credit Managers, LLC · West Palm Beach, FL

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Consilium Investment Management LLC · Fort Lauderdale, FL

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Convergence Financial · Columbia, MO

Another regulator denied, suspended, or revoked a registration or restricted activity

Elevate Financial Planning and Wealth Management · St. Petersburg, FL

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)

Elite Wealth Management, Inc. · Kirkland, WA

Any disclosure event involving the firm or its supervised persons
Charged with a felony (past 10 years)

Euro Pacific Asset Management, LLC · Dorado, PR

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Evertern Wealth · St. Petersburg, FL

A self-regulatory organization found the firm caused a business to lose or have its authorization restricted

Familywealth · Lake Mary, FL

Any disclosure event involving the firm or its supervised persons
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Familywealth Asset Management · Lake Mary, FL

Any disclosure event involving the firm or its supervised persons
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Fenway Financial Advisors, LLC · Arlington, VA

Any disclosure event involving the firm or its supervised persons

Fiera Capital (Uk) Limited · London

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Fiera Capital Inc. · New York, NY

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Fiera Comox Partners Inc · Montreal, Quebec

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

First Command Advisory Services · Fort Worth, TX

Charged with a felony (past 10 years)

Fmac Management LLC · New York, NY

Any disclosure event involving the firm or its supervised persons
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
A self-regulatory organization found a violation of its rules

Focus Financial · Minneapolis, MN

Any disclosure event involving the firm or its supervised persons

Forge Global Advisors LLC · San Francisco, CA

Any disclosure event involving the firm or its supervised persons
Convicted of or pled guilty/no contest to a felony (past 10 years)
Convicted of or pled guilty/no contest to an investment-related misdemeanor (past 10 years)
SEC or CFTC found a false statement or omission
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
A court enjoined the firm in connection with investment-related activity (past 10 years)
A court found involvement in a violation of investment-related statutes or regulations

Fourstar Wealth Advisors, LLC · Chicago, IL

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Gambit Capital Management, LLC

Any disclosure event involving the firm or its supervised persons

Gibbs Wealth Management, LLC · Alpharetta, GA

A court found involvement in a violation of investment-related statutes or regulations

Goelzer Investment Management · Carmel, IN

SEC or CFTC entered an order in connection with investment-related activity

Goldman Sachs & Co. LLC · New York, NY

Charged with a felony (past 10 years)

Gradient Advisors, LLC · Arden Hills, MN

Another regulator denied, suspended, or revoked a registration or restricted activity

Gradient Wealth Management · Arden Hills, MN

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator denied, suspended, or revoked a registration or restricted activity

Gsv Asset Management, LLC · Dallas, TX

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Guardcap Asset Management Limited · London

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Guardian Capital LP · Toronto, Ontario

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Guardian Partners Inc. · Toronto, Ontario

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Harvest Global Investments Limited · Hong Kong

Another regulator found a violation of investment-related regulations or statutes

Hatteras Investment Partners, LP · Raleigh, NC

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Hcm Wealth · San Rafael, CA

A court dismissed an investment-related civil action under a settlement agreement

Holm & Cawley Financial Group LLC · Las Vegas, NV

Any disclosure event involving the firm or its supervised persons
Charged with a felony (past 10 years)
Another regulator found a violation of investment-related regulations or statutes

Hudson Advisors · Dallas, TX

Any disclosure event involving the firm or its supervised persons

Independent Financial Group, LLC · San Diego, CA

Another regulator found a violation of investment-related regulations or statutes

Infinite Giving Advisory Services, Inc. · Atlanta, GA

Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)

Infinity Financial Services Advisory · Oakland, CA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
A self-regulatory organization found a false statement or omission

Institutional Shareholder Services Inc. · Rockville, MD

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Intrua Financial · Houston, TX

Charged with a felony (past 10 years)

Iwc Investment Partners A/s · Copenhagen

Another regulator found a violation of investment-related regulations or statutes

John Hancock Investment Management LLC · Boston, MA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

John Hancock Personal Financial Services, LLC · Boston, MA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

John Hancock Variable Trust Advisers LLC · Boston, MA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Kkr Credit Advisors (US) LLC · San Francisco, CA

Any disclosure event involving the firm or its supervised persons

Las Olas Capital Advisors, LLC · Fort Lauderdale, FL

Another regulator found a violation of investment-related regulations or statutes

Lateral Investment Management, LLC · Burlingame, CA

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Legacy Wealth Management, LLC · Boise, ID

Any disclosure event involving the firm or its supervised persons

Lifemark Securities Corp. · Rochester, NY

A court found involvement in a violation of investment-related statutes or regulations

Maceratio LLC · Miami, FL

Any disclosure event involving the firm or its supervised persons
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
A court enjoined the firm in connection with investment-related activity (past 10 years)
A court found involvement in a violation of investment-related statutes or regulations

Madison Avenue Securities, LLC · San Diego, CA

Charged with a felony (past 10 years)

Magnate Advisory Services, LLC · Louisville, KY

Another regulator found a violation of investment-related regulations or statutes
Another regulator found the firm caused a business to lose or have its authorization restricted

Manulife Investment Management (North America) Limited · Toronto, on

Any disclosure event involving the firm or its supervised persons
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Manulife Investment Management (US) LLC · Boston, MA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Manulife Investment Management Private Markets (US) LLC · Boston, MA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Mh Investment Management Inc

Any disclosure event involving the firm or its supervised persons

Mirae Asset Global Investments (Hong Kong) Limited · Hong Kong

Any disclosure event involving the firm or its supervised persons

Morgan Stanley Investment Management Inc. · New York, NY

SEC or CFTC found a false statement or omission
Another regulator entered an order in connection with investment-related activity (past 10 years)

Newpoint Real Estate Investment Management LLC · New York, NY

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Oak Harvest Investment Services · Houston, TX

A court dismissed an investment-related civil action under a settlement agreement

Oakwood Capital, Inc. · St. Louis Park, MN

A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Osaic Institutions, Inc. · Meriden, CT

Any disclosure event involving the firm or its supervised persons

Pacific Investment Management Company LLC · Newport Beach, CA

Any disclosure event involving the firm or its supervised persons

Palisade Investments, LLC · Zephyr Cove, NV

Any disclosure event involving the firm or its supervised persons

Petercam Institutional Asset Management · Brussels

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Philadelphia Partners Capital Management, LLC · Bala Cynwyd, PA

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Pilgrim Global Advisors LLC · Reno, NV

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Pinnacle Investments, LLC · East Syracuse, NY

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Platinum Equity Advisors, LLC · Beverly Hills, CA

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator found the firm caused a business to lose or have its authorization restricted
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity

Portside Wealth Group, LLC · Provo, UT

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Prce Management LLC · Alpharetta, GA

A self-regulatory organization found a violation of its rules

Procyon · Shelton, CT

A self-regulatory organization found a violation of its rules

Prometheus Wealth Management Sam · Monaco

Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity

Pvg Asset Management Corp · Centennial, CO

A self-regulatory organization expelled, suspended, barred, or restricted the firm

Regal Investment Advisors LLC · Kentwood, MI

Another regulator found a violation of investment-related regulations or statutes

Robeco Institutional Asset Management US Inc · New York, NY

Any disclosure event involving the firm or its supervised persons
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)

Rudney Associates · Alamo, CA

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Russell Investments · Seattle, WA

Any disclosure event involving the firm or its supervised persons

Sagent Wealth Management · Laguna Beach, CA

Any disclosure event involving the firm or its supervised persons

Sc Asesores En Inversiones Independientes Sa de Cv · Mexico City

SEC or CFTC entered an order in connection with investment-related activity

Schwab Wealth Advisory, Inc. · San Francisco, CA

Another regulator found a violation of investment-related regulations or statutes
Another regulator denied, suspended, or revoked a registration or restricted activity
An authorization to act as an attorney, accountant, or federal contractor was revoked or suspended

Select Equity Group, L.P. · New York, NY

Any disclosure event involving the firm or its supervised persons

Skyoak Wealth · Southfield, MI

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

State Farm Investment Management Corp. · Bloomington, IL

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Sterling Capital Management LLC · Charlotte, NC

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Stirlingshire Investments · New York, NY

A self-regulatory organization found a violation of its rules

Strategas Asset Management, LLC · New York, NY

Another regulator found a violation of investment-related regulations or statutes

Strategas Securities, LLC Dba Strategas Research Partners · New York, NY

Another regulator found a violation of investment-related regulations or statutes

Stronghold Resource Partners · Dallas, TX

A court enjoined the firm in connection with investment-related activity (past 10 years)

Summit Peak Investments, LLC

Any disclosure event involving the firm or its supervised persons

Sweetwater Private Equity · Encinitas, CA

Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

The Eideard Group, LLC · Bedford, NH

A court found involvement in a violation of investment-related statutes or regulations

The Raelipskie Partnership · Waterloo

Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Thepartners Wealth Management · Carmel By the Sea, CA

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Tt International · London

Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct

Twin Cities Retirement Group · Plymouth, MN

Any disclosure event involving the firm or its supervised persons
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Ulland Investment Advisors, LLC · Minneapolis, MN

Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

Unitas Capital · Hong Kong

A court dismissed an investment-related civil action under a settlement agreement

Unitas Capital · Hong Kong

A court dismissed an investment-related civil action under a settlement agreement

United Advisor Group · Cincinnati, OH

A self-regulatory organization expelled, suspended, barred, or restricted the firm

US Asset Management, LLC · Pittsburgh, PA

Any disclosure event involving the firm or its supervised persons

Vanguard Advisers, Inc. · Malvern, PA

A court dismissed an investment-related civil action under a settlement agreement

Vanguard Capital Management, LLC · Malvern, PA

A court dismissed an investment-related civil action under a settlement agreement

Vanguard Global Advisers, LLC · Malvern, PA

A court dismissed an investment-related civil action under a settlement agreement

Vanguard Group Inc · Malvern, PA

A court dismissed an investment-related civil action under a settlement agreement

Vanguard Personalized Indexing Management · Oakland, CA

A court dismissed an investment-related civil action under a settlement agreement

Vanguard Portfolio Management, LLC · Malvern, PA

A court dismissed an investment-related civil action under a settlement agreement

W Capital Partners · New York, NY

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)

Westbridge Capital US Advisors, LP · San Mateo, CA

Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

Winning Points Advisors, L.L.C. · Boca Raton, FL

A court dismissed an investment-related civil action under a settlement agreement

Witt Financial Group, LLC · Crossville, TN

Another regulator found a violation of investment-related regulations or statutes

Xypn Invest · Bozeman, MT

A self-regulatory organization expelled, suspended, barred, or restricted the firm

Largest reported changes in regulatory assets

These are changes in what firms reported. A large move can reflect client flows, market moves, a restatement, or a reclassification between discretionary and non-discretionary assets. Do not read them as investor behaviour.

Firm	State	Previous	Current	Change
Vanguard Capital Management, LLC	PA	$0	$8.44 trillion
Vanguard Portfolio Management, LLC	PA	$0	$2.66 trillion
Goldman Sachs Asset Management, L.P.	NY	$2.06 trillion	$2.65 trillion	+28%
Geode Capital Management, LLC	MA	$1.38 trillion	$1.74 trillion	+26%
Strategic Advisers LLC	MA	$1.07 trillion	$1.37 trillion	+28%
Vanguard Global Advisers, LLC	PA	$491.43 billion	$249.66 billion	-49%
Sageview Advisory Group, LLC	CA	$238.55 billion	$37.50 billion	-84%
Lpl Financial LLC	SC	$618.92 billion	$819.12 billion	+32%
Goldman Sachs Asset Management International		$440.20 billion	$621.02 billion	+41%
Blackrock Investment Management, LLC	NJ	$508.16 billion	$676.69 billion	+33%
Aqr Capital Management, LLC	CT	$160.52 billion	$311.70 billion	+94%
Millennium Management LLC	NY	$571.11 billion	$720.85 billion	+26%
Victory Capital Management Inc.	TX	$152.29 billion	$282.71 billion	+86%
Citadel Advisors LLC	FL	$445.96 billion	$570.62 billion	+28%
Two Sigma Investments, LP	NY	$110.28 billion	$232.82 billion	+111%
Janus Henderson Investors	CO	$274.67 billion	$380.43 billion	+39%
Garda Capital Partners	MN	$106.64 billion	$207.10 billion	+94%
Ares Management LLC	CA	$359.15 billion	$458.82 billion	+28%
Jpmorgan Asset Management (Uk) Limited		$385.99 billion	$484.10 billion	+25%
Arrowstreet Capital, Limited Partnership	MA	$253.55 billion	$351.32 billion	+39%
J.P. Morgan Private Investments Inc.	NY	$375.63 billion	$469.98 billion	+25%
Cetera Investment Advisers LLC	IL	$163.79 billion	$256.81 billion	+57%
Dimensional Fund Advisors Ltd		$276.11 billion	$364.73 billion	+32%
Dfa Australia Limited		$273.92 billion	$361.60 billion	+32%
Wealthspire Retirement Advisory	CA	$118.03 billion	$38.61 billion	-67%
Schonfeld Strategic Advisors LLC	NY	$146.34 billion	$225.25 billion	+54%
Creative Planning	KS	$217.40 billion	$295.57 billion	+36%
Fiam LLC	RI	$270.66 billion	$347.73 billion	+28%
Invesco Asset Management Ltd.		$111.41 billion	$187.60 billion	+68%
Jobs Peak Advisors		$0	$73.58 billion
Rathbones		$67.01 billion	$135.09 billion	+102%
Lmr Partners LLC	NY	$77.25 billion	$140.11 billion	+81%
Acadian Asset Management	MA	$117.30 billion	$177.46 billion	+51%
Capula Investment US LP	NY	$78.36 billion	$137.44 billion	+75%
D. E. Shaw & Co., L.P.	NY	$154.59 billion	$213.36 billion	+38%
Wells Fargo Advisors	MO	$197.36 billion	$252.25 billion	+28%
Taula Capital Management (Difc) Ltd		$158.48 billion	$210.92 billion	+33%
Taula Capital Management (US) LLC		$160.37 billion	$210.93 billion	+32%
Taula Capital Management (Jersey) LP		$160.37 billion	$210.93 billion	+32%
Dws International Gmbh		$178.52 billion	$228.87 billion	+28%

Newly registered advisers

Firm	Location	Assets
The Energy & Minerals Group LP	Houston, TX	$12.02 billion
Clean Energy Transition International S.A.M.	Monaco, Monaco	$2.05 billion
Kryger Capital LLC	Hamilton	$1.43 billion
Mcd-kissner Gp, LLC	Overland Park, KS	$1.02 billion
Fincadia Advisors LLC	Melville, NY	$1.00 billion
Sc Asesores En Inversiones Independientes Sa de Cv	Mexico City	$553.4 million
Bicycle Capital	Coconut Grove, FL	$518.5 million
Sage Trading Collective		$505.0 million
Andra Capital LLC	San Francisco, CA	$476.5 million
Ovata Capital Management LLC	Hong Kong	$441.9 million
Golden Spark Insights	Fairfax, VA	$400.0 million
Planguide Financial	Southlake, TX	$277.2 million
Certis Capital Management, Inc.	Santa Barbara, CA	$255.9 million
Kaiyo Wealth LLC	San Diego, CA	$240.1 million
Madrid Retirement Advisors	Manhattan Beach, CA	$184.2 million
True Square Financial LLC	Atlanta, GA	$178.8 million
Maroon Pass Advisors LP	Austin, TX	$178.6 million
Fiduciary Financial Planning Network	Onalaska, WI	$164.1 million
Summation Capital Management, L.P.	New York, NY	$160.6 million
Witt Financial Group, LLC	Crossville, TN	$160.5 million
Advisory Advocates LLC	Grand Rapids, MI	$158.6 million
Waycross Gp, LLC	Louisville, KY	$156.1 million
Roan Capital Partners	Johnson City, TN	$152.0 million
Classic Financial	Westlake Village, CA	$151.6 million
Cavu Wealth Advisors, LLC	Moraga, CA	$150.6 million
Auerbach Investment Services, LLC	Narberth, PA	$150.2 million
Cardenas Asset Management, LLC		$149.3 million
Wealthgen Advisors, LLC	Sarasota, FL	$146.6 million
Kaleel Investment Advisors, LLC	Boston, MA	$145.4 million
Shelter Wealth Strategies, LLC	Houston, TX	$144.1 million
Van Diest Capital	Polk City, IA	$144.1 million
Box Hill Private Wealth		$137.5 million
Veritas Wealth Management, LLC	Salt Lake City, UT	$135.8 million
Allegro Mineral Partners LLC	Houston, TX	$135.3 million
Jrs Wealth Management LLC	South Jordan, UT	$135.0 million
Twin Cities Retirement Group	Plymouth, MN	$134.9 million
Lasalle Investment Advisors, Inc.	Pewaukee, WI	$133.6 million
Elm Capital Management LLC	Pittsburgh, PA	$133.4 million
Fletcher Financial Group	West Monroe, LA	$133.0 million
Messmer Capital Advisors LLC	Milford, OH	$130.4 million
Navigo Wealth Management, LLC		$129.9 million
Holm & Cawley Financial Group LLC	Las Vegas, NV	$128.8 million
Luminescent Wealth Management, Inc.	Scottsdale, AZ	$127.4 million
Oak Street Advisors	Myrtle Beach, SC	$126.2 million
Wms Group LLC		$125.3 million
Tidehaven Wealth, LLC	Mount Pleasant, SC	$125.0 million
Kucharo Wealth	Charlotte, NC	$123.7 million
Zuckerman Capital Management, LLC	Los Angeles, CA	$123.5 million
Valliance Asset Management LLC	Chicago, IL	$123.0 million
Lotus Asset Management Limited Liability Company		$120.5 million
Fair Asset Management, LLC		$119.8 million
Northfort Financial, LLC		$118.6 million
Sandhill Wealth Management, Inc.	Winter Park, FL	$118.5 million
Advanced Planning Advisors Group Inc.	Naperville, IL	$118.0 million
Gvs Financial Group, Inc.		$118.0 million
Wealth Engineers, LLC	Denver, CO	$117.6 million
Moffatt Financial Strategies	Fort Worth, TX	$117.1 million
Nim Wealth Solutions	San Jose, CA	$116.8 million
Align Wealth Management, LLC	San Jose, CA	$116.7 million
Aton Advisors, LLC		$116.4 million
Ryzome Investment Advisors	Okemos, MI	$116.1 million
Private Counsel Group, Ltd.	Indianapolis, IN	$116.0 million
Palante Wealth Advisors, LLC	Pennington, NJ	$115.5 million
Capstone Wealth Partners	Dublin, OH	$114.9 million
1102 Partners, LLC		$114.5 million
Abri LLC	Lexington, KY	$114.4 million
Modernist Financial, LLC	Portland, OR	$113.3 million
Form Prosperity Wealth Advisors, LLC	Chandler, AZ	$112.9 million
Gassman Financial LLC	Salem, NH	$112.6 million
Evans Wealth Management	Duluth, GA	$111.1 million
Renaissance Wealth Advisors, LLC	Newton, MA	$109.9 million
Jake Carris Financial Planning	Orlando, FL	$109.7 million
Wealthshape LLC	Windsor, CT	$109.4 million
Afton Advisors, LLC		$109.3 million
Fairlight Advisors	San Francisco, CA	$109.3 million
Triple Summit Advisors, LLC		$108.5 million
Dove Investment Research and Management, Inc.	Irvine, CA	$107.4 million
Strickler Investment Services, LLC	Brighton, MI	$107.3 million
Hogan Investment Counsel, LLC	Cordova, TN	$107.2 million
Elevate Financial Planning and Wealth Management	St. Petersburg, FL	$107.1 million
Purposeful Financial and Legacy Planning		$107.1 million
Saga Financial Management		$107.0 million
Trusco Investment Management, LLC	Nashville, TN	$107.0 million
603 Financial Advisors, LLC		$106.9 million
Ella Financial Advising	Oakland, CA	$106.9 million
Haynie Wealth Management LLC	Salt Lake City, UT	$106.6 million
Coastal Wealth Advisors, LLC	Johns Island, SC	$106.6 million
Stage 2 Planning Partners LLC	South Burlington, VT	$106.5 million
Morgan-aly Wealth Management, LLC	Waukesha, WI	$105.3 million
Legacy Chief Financial Office, LLC	Shenandoah, TX	$105.1 million
Runey & Associates Wealth Management	Mount Pleasant, SC	$104.8 million
Vcm Wealth		$104.8 million
Millstone Financial Group	Millstone, NJ	$104.4 million
Wellacre Global Wealth Advisors	Santa Monica, CA	$104.3 million
Allridge Wealth Management, Inc	Ashburn, VA	$103.3 million
Uhy Wealth Management Ria LLC	Farmington Hills, MI	$102.6 million
Domestique Capital LLC		$102.4 million
Sound Legacy Wealth Advisors, LLC		$102.0 million
Suttle Crossland Wealth Advisors, LLC	Scottsdale, AZ	$101.1 million
Cwm Advisory, LLC	Ocean Pines, MD	$101.0 million
Ascent Financial Group	Richmond, VA	$100.8 million
Cdp Financial Group, LLC	Littleton, CO	$100.5 million
Newsong Capital Management, Inc.	Hattiesburg, MS	$100.4 million
Course Management Investment Advisors, LLC	Pinehurst, NC	$100.3 million
Grupp Financial LLC	Jackson, WY	$100.1 million
Soulence Wealth Management	Pleasant Grove, UT	$94.7 million
Capital Q Management LLC	Maitland, FL	$93.4 million
Haverstock Capital LLP	London	$75.0 million
9 Stream Capital Partners LLC	Leawood, KS	$73.9 million
Rlh Capital, LLC		$63.5 million
Just Futures	San Francisco, CA	$46.7 million
School of Personal Finance		$28.7 million
Museum Mile Funds LLC		$26.9 million
Guepardo Investimentos Ltda	São Paulo,sp	$4.9 million
Shikhara Capital (Hong Kong) Private Limited (Company)	Hong Kong	$164,277
Fiduciary Capital Management LLC	Cheyenne, WY	$5,000
Green Capital Private Wealth	Miami, FL	$0
Mpact Capital		$0
Fidem Credit Advisors	Philadelphia, PA	$0
Nantas	Montevideo, Montevideo	$0
15 Wealth Advisors LLC	Mundelein, IL	$0
Commercial Trust Financial Services	Fayette, MO	$0
Fmac Management LLC	New York, NY	$0
Cantor Fitzgerald Energy Advisors, LLC	New York, NY	$0
Vestie		$0
Aristotle Pacific Clo Adviser Iii, LLC	Newport Beach, CA	$0
Terminal		$0
Sagepoint Capital Partners LLC	Franklin, TN	$0
Rockwall Wealth Management	Rockwall, TX	$0
Plato Planning		$0
Wlt Partners	Miami, FL	$0
Haire Wealth Management, Inc.	Tupelo, MS	$0
Reinova Capital Advisors LLC	Greenwich, CT	$0
Lemnis Capital	Richardson, TX	$0
Tanara Wealth Management LLC	Lehi, UT	$0
37spruce Investment Partners, LLC	Greenwich, CT	$0
Anchr Technologies Ria LLC	New York, NY	$0
Ajax Health Management Company, LLC	Menlo Park, CA	$0
Revel Wealth Management	Teaneck, NJ	$0
Koehler Asset Management	Babylon, NY	$0
Freif Advisors LLC	Denver, CO	$0
Exceptional Wealth & Family Office	Colorado Springs, CO	$0
Optimal Tax Asset Management	Bellevue, WA	$0
Rosenberg Wealth Advisors		$0
Bluum Invest LLC	Los Angeles, CA	$0
The Operators Fund Investment Management, L.P.	New York, NY	$0
Evanson Financial, LLC Dba Evanson Asset Management		$0
Acorn Asset Management LLC	Princeton, NJ	$0
Velaris Wealth Management	Orlando, FL	$0
Pathway Financial Solutions, Inc.	Salina, KS	$0
Cmg Wealth Advisors LLC	Madison, WI	$0
Polen International Equity LLC	Boca Raton, FL	$0
Union Strategic Advisors	Blue Ash, OH	$0
Clancy Wealth Advisors	Chino Hills, CA	$0
Breakaway Independent Advisors, LLC	San Diego, CA	$0
Mosaic Wealth Management LLC	Bloomington, IN	$0
Propel Private Wealth LLC		$0
Mesarete Capital (US) LLC	London	$0
Guided Path Financial	Plano, TX	$0
Evertern Wealth	St. Petersburg, FL	$0
Evolution Vision Wealth Management		$0
Woodland Wealth Partners	Pepper Pike, OH	$0
Qso Capital Management LLC	Fort Lauderdale, FL	$0
Farrcrest Capital LLC		$0
Mdt Financial Advisors, LLC	Webster, TX	$0
Berenson Capital Management, LLC	New York, NY	$0
Wealth Intelligently Navigated, LLC	Spartanburg, SC	$0
2201 Capital, LLC	Boston, MA	$0
Vera Lake Capital, LLC	Edina, MN	$0
Trillium Wealth LLC	Winter Park, FL	$0

No longer registered

Present in the previous snapshot and absent from this one. Firms deregister for many ordinary reasons, including mergers and moving to state registration.

Access Wealth Management, Inc. · Louisville, KY
Affinius Capital · New York, NY
Agdeavor Investments · Worthington, OH
Agentsmyth Advisors · New York, NY
Alpine Capital Strategies LLC
Alti LLC · New York, NY
Archer Portfolio Management Inc. · Montreal, Quebec
Arène Capital Management LP · New York, NY
Asal Invest · Arlington, VA
Asg Investment Management, LLC · Renfrew, PA
Aspire Planning Associates, Inc. · Walnut Creek, CA
Aura Finance, Inc. · Covina, CA
Aventine Capital Management LLC · Chicago, IL
Beacon Financial Group, Inc. · Aurora, OH
Beddow Capital Management Inc · Jackson, WY
Bellwood Capital Fund Advisors
Benson Investment Management Company, Inc.
Better Money Decisions · Santa Fe, NM
Beyond Global Management, LLC · Houston, TX
Birchwood Creek Capital Management LLC
Bishop & Associates Inc · Philadelphia, PA
Blackstone Real Estate Advisors Iv L.L.C. · New York, NY
Blue Owl Diversified Credit Advisors LLC · New York, NY
Bolt Financial Group, Inc · Worthington, OH
Branches + Roots Investment Management · Saratoga Springs, NY
Bridport Investments LLC
Burt Wealth Advisors · North Bethesda, MD
Calixto Global Partners LLC · Coral Gables, FL
Candor Financial LLC
Capinsights Partners, LLC · Greenwich, CT
Capital Area Planning Group · Washington, DC
Cbre Investment Management, LLC · New York, NY
Centerstone Investors LLC
Chatham Investment Advisors, LLC · Kennett Square, PA
Clearlake Capital Asset Management, LLC · Santa Monica, CA
Colorado Wealth Group LLC · Denver, CO
Cornercap Investment Counsel Inc · Atlanta, GA
Coughlin Financial Services, Inc. · Larchmont, NY
Creegan & Nassoura Financial Group, LLC · Portsmouth, NH
Dale Buckner, Inc. · Amarillo, TX
David Capital Partners, LLC · Chicago, IL
David James Financial · North Liberty, IA
Deianira Capital Management LLC · Miami, FL
Democracy Investment Management LLC
Dick Rivera & Associates · Pensacola Beach, FL
Duncan & Haley, Ltd. · Seattle, WA
E Capital Management L.P. · New York, NY
E&e Advisors L.P. · New York, NY
Easterly Eab Risk Solutions LLC · Bala Cynwyd, PA
Enhanced Pk Services, LLC · San Juan, PR
Eric M Flanagan Trading, LLC
Eve Wealth · Portland, OR
Fao Wealth Inc · Trumbull, CT
Financebuzz · Delray Beach, FL
Financial Advocates Investment Management · Olympia, WA
Financial Planning Solutions, LLC · Auburndale, MA
Finley Wealth Advisors · Estero, FL
Forefront Wealth Management · Malvern, PA
Fortress Wealth Management, Inc. · Culver City, CA
Fulfilled
Golden Wealth Management · Pittston, PA
Gpi Capital, L.P.
Gps Wealth Strategies Group, LLC · Centennial, CO
Greenfield Partners, LLC · Greenwich, CT
Heritage Financial Services · Westwood, MA
Hestia Capital Management, LLC · Cranberry Township, PA
Horizon Capital Management, Inc.
Hub Investment Advisors, Inc · Omaha, NE
Humankind Investments · New York, NY
I/o Strategies LLC · Boulder, CO
Id Funds Advisor LLC · Boca Raton, FL
Insight Wealth Strategies, LP · Irvine, CA
Intrepid Technology LLC · Miami, FL
Investment Cards Ria L.L.C. · Wilmington, DE
Iur Capital, LLC · Miami, FL
Joseph Gunnar & Co., LLC · Uniondale, NY
Juniper Hill Capital Management LP · Menlo Park, CA
Kinney Asset Management, LLC. · Chicago, IL
Lafayette Square Wealth, LLC · Miami, FL
Law Finance Group Management Company · Delray Beach, FL
Loc Investment Advisers · Hurricane, WV
Long Run Wealth Advisors, LLC · Lake Placid, NY
Longview Asset Management, LLC · Santa Fe, NM
Lv Advisory Spa · Santiago
M28 Capital Management LP · Stamford, CT
Marcado Asset Management LLC · San Antonio, TX
Marlowe Partners LP · New York, NY
Meritage Portfolio Management, Inc. · Overland Park, KS
Mgb Wealth Management, LLC · Addison, TX
Model Six Operations Inc. · Vancouver, Bc
Modern Capital Group LLC
Msp Sports Capital · New York, NY
My Legacy Advisors, LLC · Bend, OR
Ndvr · Boston, MA
Newsholme Financial Group, Inc. · Yorktown Hts, NY
Next Coast Ventures, LLC · Austin, TX
Nollenberger Mccullough Investment Advisors LLC · Newport Beach, CA
Nomad · Orlando, FL
Nyes Ledge Capital Management, LLC · Boston, MA
O'brien Wealth Partners LLC · Waltham, MA
Ofs · Mclean, VA
One Funds, LLC · Colorado Springs, CO
Oneamerica Investment Advisory Services LLC · Windsor, CT
Onemap Mineral Services LLC · Houston, TX
Pacific Point Wealth Management · Carlsbad, CA
Pacifica Wealth Advisors, Inc.
Paragon Jv Partners, LLC · Dallas, TX
Patriot Asset Management, Inc.
Pgim Multi-asset Solutions LLC · Newark, NJ
Pittsburgh Financial Planners, Inc. · Bridgeville, PA
Placid Sound Capital Management, LLC · Guatemala City
Portland Hill Asset Management Limited · London
Private Equity (Thailand) Co., Ltd. · Bangkok
Prospector Partners Asset Management, LLC · Guilford, CT
Prospector Partners, LLC · Guilford, CT
Pure Portfolios · Lake Oswego, OR
Pursuit Wealth Managment LLC · Palm Beach Gardens, FL
Qief Management, LLC · Quatre Bornes
Quantum Greeks
Resource Land Holdings, LLC · Denver, CO
Richr Money LLC · Miami, FL
Risemint · Evergreen, CO
Rivo Alto Capital Funding LLC · North Miami Beach, FL
Sage Road Capital · Houston, TX
Sapience Investments, LLC · Irvine, CA
Sb Capital Management, Inc. · Encino, CA
Sensible Financial Planning and Management, LLC · Waltham, MA
Sharpe Advisors, LLC
Sheets Smith Investment Management, LLC · Houston, TX
Sherbrooke Park Advisers LLC · White Plains, NY
Signature Intelligent Portfolios, LLC · Los Angeles, CA
Skm Wealth Management, LLC
Sol Capital Management Co · Rockville, MD
Stadium Capital Management, LLC · New Canaan, CT
Stephens Consulting, LLC · Flint, MI
Stf Management LP · Frisco, TX
Stone Creek Capital Management LLC · Alpharetta, GA
Stringer Asset Management, LLC · Memphis, TN
Syncracy Operational Management LLC
Taylor Advisors, Inc., a Hub International Company · Louisville, KY
Th Garp Etfs · London
The Energy & Minerals Group · Houston, TX
The Financial Advisors, LLC · Andover, MA
The Marshall Financial Group, Inc · Doylestown, PA
Total Wealth Planning, LLC · Cincinnati, OH
Trg Advisors, Inc. · Lakewood Ranch, FL
Two Sigma Advisers, LP · New York, NY
U.S. Financial Advisors · Wilmington, DE
Uniplan Institutional Advisors LLC · Milwaukee, WI
W1m Investment Management Limited · London
Waypoint Strategic Advisors · Summerville, SC
Wealth Planning Corp · Cincinnati, OH
Wealthvenue
Wellings Capital · Forest, VA
Your Retirement Coach · Marietta, GA