What changed in 2026-08
Comparing the SEC's 2026-07-01 and 2026-08-01 Form ADV snapshots.
Newly registered
159
Deregistered
76
Newly disclosed
24
Major asset moves
40
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.
Advanced Wealth Management · Sarasota, FL
- Any disclosure event involving the firm or its supervised persons
- Another regulator found a violation of investment-related regulations or statutes
Arrow Wealth Advisors · Auburn, CA
- Any disclosure event involving the firm or its supervised persons
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Berenberg Asset Management LLC · New York, NY
- Another regulator denied, suspended, or revoked a registration or restricted activity
Canaras Capital Management, LLC · New York, NY
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Compass Retirement Group LLC · St. Louis, MO
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Corient · Miami, FL
- A self-regulatory organization found a violation of its rules
Florida Financial Advisors, LLC · Tampa, FL
- Another regulator found a violation of investment-related regulations or statutes
Gdev Management, LLC · New York, NY
- 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)
Highland Associates Inc · Birmingham, AL
- A self-regulatory organization found a violation of its rules
Ingalls Investment Management, LLC · New York, NY
- Any disclosure event involving the firm or its supervised persons
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a violation of its rules
Man Advisers LLC · Boston, MA
- 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)
Maseco Private Wealth · London
- 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
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Mathies Financial Partners · Pueblo, CO
- 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
Mercer Global Advisors Inc. · Denver, CO
- 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)
Neostellar Advisors LLC · New York, NY
- Any disclosure event involving the firm or its supervised persons
- 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
Nepc, LLC · Boston, MA
- 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
Northeast Financial Group, Inc. · Allentown, PA
- 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
Precision Fiduciary Partners, LLC · Austin, TX
- 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
Primerica Advisors · Duluth, GA
- Charged with a felony (past 10 years)
Rathbones · Liverpool
- Another regulator denied, suspended, or revoked a registration or restricted activity
Regions Investment Management, Inc. · Birmingham, AL
- A self-regulatory organization found a violation of its rules
The Mather Group, LLC · Chicago, IL
- Any disclosure event involving the firm or its supervised persons
- Another regulator found a violation of investment-related regulations or statutes
Tikehau Capital North America LLC · New York, NY
- Any disclosure event involving the firm or its supervised persons
- Another regulator found a violation of investment-related regulations or statutes
Tpg Capital Advisors, LLC · Fort Worth, TX
- Convicted of or pled guilty/no contest to a felony (past 10 years)
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 |
|---|---|---|---|---|
| Coller Investment Management Ltd | $28.99 billion | $36.66 billion | +26% | |
| Trian Fund Management, L.P. | NY | $6.71 billion | $10.39 billion | +55% |
| Coller Capital Inc | NY | $9.00 billion | $11.95 billion | +33% |
| Pinnacle Asset Management, L.P. | NY | $8.89 billion | $6.23 billion | -30% |
| Centaurus Financial, Inc. | CA | $7.34 billion | $9.74 billion | +33% |
| Aerie Advisory Group LLC | WA | $618.1 million | $2.52 billion | +308% |
| Facet | FL | $6.04 billion | $7.60 billion | +26% |
| Evertern Wealth, LLC | FL | $0 | $1.56 billion | |
| Bluespring Wealth Management, LLC | TX | $4.02 billion | $5.43 billion | +35% |
| Tanara Wealth Management LLC | UT | $0 | $1.09 billion | |
| Sagepoint Capital Partners LLC | TN | $0 | $888.3 million | |
| Beirne. | CT | $1.37 billion | $2.26 billion | +65% |
| Smith Group Asset Management, LLC | TX | $2.21 billion | $1.41 billion | -36% |
| Affinity Asset Advisors, LLC | NY | $1.69 billion | $2.45 billion | +45% |
| Dx Advisors LLC | NV | $0 | $753.3 million | |
| Sage Trading Collective | $505.0 million | $1.22 billion | +142% | |
| Woodland Wealth Partners | OH | $0 | $711.9 million | |
| Bridgecreek Financial Group | OK | $0 | $649.9 million | |
| Consequent Capital Management, LLC | GA | $639.3 million | $0 | -100% |
| Shah Wealth Advisors | CA | $0 | $606.2 million | |
| Trillium Wealth LLC | FL | $0 | $544.6 million | |
| Wealth Intelligently Navigated, LLC | SC | $0 | $532.9 million | |
| 15 Wealth Advisors LLC | IL | $0 | $481.5 million | |
| Merit Capital Partners Vi, LLC | IL | $0 | $448.2 million | |
| Merit Capital Partners Management, L.L.C. | IL | $1.44 billion | $991.1 million | -31% |
| Blueprint Financial Advisors | NC | $966.6 million | $1.41 billion | +46% |
| Opto Investment Management, LLC | NY | $565.4 million | $928.6 million | +64% |
| Autilus Partners LLC | CA | $101.0 million | $413.8 million | +310% |
| Nippon Value Investors | $898.5 million | $591.3 million | -34% | |
| The Operators Fund Investment Management, L.P. | NY | $0 | $303.0 million | |
| Exceptional Wealth & Family Office | CO | $0 | $292.2 million | |
| Mosaic Wealth Management LLC | IN | $0 | $285.0 million | |
| Lionhunter Capital Management LLC | NY | $0 | $266.8 million | |
| Ds2 Capital LLC | $0 | $250.6 million | ||
| Qso Capital Management LLC | FL | $0 | $250.0 million | |
| Mbx Investors LLC | MI | $224.6 million | $457.8 million | +104% |
| Rosenberg Wealth Advisors | MI | $0 | $231.0 million | |
| Ajax Health Management Company, LLC | CA | $0 | $214.5 million | |
| Stevens Capital Partners | NE | $600.7 million | $810.3 million | +35% |
| Commercial Trust Financial Services | MO | $0 | $204.1 million |
Newly registered advisers
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.
- 21peaks Capital Management, LLC
- 8 Knots Management, LLC · Dallas, TX
- Alamut Capital · Toronto
- Alcion Ventures, L.P. · Burlington, MA
- Align Impact, LLC · Denver, CO
- Alpha One Asset Management LLC · Pasadena, CA
- Alphaquest LLC · New York, NY
- Amvoy Wealth · Dublin
- Arch Otc LLC
- Atlantic Wealth Partners, LLC · Jupiter, FL
- Berenson Capital Management, LLC · New York, NY
- Bnp Paribas Asset Management USA, Inc. · New York, NY
- Boussard & Gavaudan Investment Management LLP · London
- Change Forces · Portola Valley, CA
- Clearup LLC
- Crosspoint Capital Management · Orinda, CA
- D'annunzio Consulting Group, LLC · Tacoma, WA
- Decode Finance LLC · Palo Alto, CA
- Dinerazo Inc. · North Miami, FL
- Double I Investments, LLC
- Earlybird Central Inc.
- Earthquake
- Elite Retirement Group · Plover, WI
- Fidem Credit Advisors · Philadelphia, PA
- Finance Friends
- Finequities LLC
- Finsie · Belmont, CA
- Fintron Advisors, LLC · Stamford, CT
- Fmac Management LLC · New York, NY
- Focused Trading and Investments, Inc.
- Gibertini, Anthony
- Hemista Inc. · Boston, MA
- Hodge Financial Services, LLC
- Hudson Executive Capital LP · New York, NY
- Hurricane Advisor Solutions · New York, NY
- Imc Advisors, LLC · Columbus, IN
- Invesco · Toronto, Ontario
- Iwp Wealth Management LLC · Denver, CO
- Joule Financial, LLC · Lexington, KY
- Lanmar Capital Management
- Lpk Investment Group, LLP · New York, NY
- Meridian Wealth Advisors, LLC · Albuquerque, NM
- Midbridge Advisors LP · Denver, CO
- Mm Advisors, LLC · Auburn, AL
- Napatree Capital LLC · Westerly, RI
- Northstar Financial Planners, Inc. · Plantation, FL
- Oakhurst Capital Advisors, LLC · Washington, DC
- Off Camber Creative LLC · Prospect, KY
- Olstein Capital Management, L.P. · Purchase, NY
- Pecusavvy Financial · El Paso, TX
- Ransom Advisory
- Red Tortoise · Atlanta, GA
- Regatta Loan Management LLC · New York, NY
- Regents Park Funds, LLC · Irvine, CA
- Resource Financial Group, Ltd. · Wilmette, IL
- Ritter Daniher Financial Advisory LLC · Cincinnati, OH
- Scout Wealth Advisors LLC · Pasadena, CA
- Smith Group Asset Management · Dallas, TX
- Sound Advice Financial Inc. · Bannockburn, IL
- Spa Ria · Santa Monica, CA
- Spur Capital Partners · Bartlesville, OK
- Summit Capital Inc.
- Sunflower Wealth Advisors LLC · Salina, KS
- Talara Capital Management, LLC · Montclair, NJ
- The Hogan-knotts Financial Group, Inc. · Red Bank, NJ
- Treasury Interactive Investment Advisers LLC · Brooklyn, NY
- Two Sigma Ventures, LP · New York, NY
- Unifimoney Ria, Inc.
- V.M. Manning & Co., Inc. · Greenville, SC
- Vanshap Capital, LLC · Arlington, VA
- Vivaldi Capital Management LP · Chicago, IL
- Warnke/nichols Ltd. · Delafield, WI
- Waterstone Wealth Advisors, LLC
- Wealth Builder Funds LLC · Cary, IL
- Wealthgap
- Wellspring Financial Partners · Tucson, AZ