What changed in 2026-09
Comparing the SEC's 2026-08-01 and 2026-09-01 Form ADV snapshots.
Newly registered
207
Deregistered
76
Newly disclosed
14
Major asset moves
40
Firms newly reporting a disclosure
These firms answered Yes this month to an Item 11 question they answered No to last month. That can reflect a new event, or an amended filing of an older one.
Acp Venture Capital Management Fund LLC · Hauppauge, NY
- 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
Advent International, L.P. · Boston, MA
- 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.
Canyon Abf Manager LLC · Dallas, TX
- A self-regulatory organization found a violation of its rules
Cerberus Capital Management, L.P. · New York, NY
- Any disclosure event involving the firm or its supervised persons
- A court dismissed an investment-related civil action under a settlement agreement
Engage Wealth Advisors, LLC · Overland Park, KS
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Fairway Investment Group, LLC · East Lansing, MI
- Another regulator found a violation of investment-related regulations or statutes
First Georgetown Securities, Inc · Alexandria, VA
- Another regulator found a violation of investment-related regulations or statutes
- A court dismissed an investment-related civil action under a settlement agreement
Independence Capital Co., Inc. · Parma, OH
- 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
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization found the firm caused a business to lose or have its authorization restricted
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Integrated Advisors Network LLC · Dallas, TX
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Nomura Securities International, Inc. · New York, NY
- A self-regulatory organization found a false statement or omission
Simplify Asset Management Inc. · Las Vegas, NV
- 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
Tanara Wealth Management LLC · Lehi, UT
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Union Capital Company · Tucson, AZ
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Wisdomtree Ventures Management, 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
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 |
|---|---|---|---|---|
| Octopus Energy Generation | $6.40 billion | $11.80 billion | +84% | |
| Columbia Capital | VA | $9.10 billion | $13.84 billion | +52% |
| Disruptive Technology Advisers LLC | TX | $3.12 billion | $7.68 billion | +146% |
| Simplify Asset Management Inc. | NV | $9.64 billion | $14.05 billion | +46% |
| Alphacore Capital LLC | CA | $9.03 billion | $12.96 billion | +44% |
| Richard Bernstein Advisors LLC | NY | $3.79 billion | $180.8 million | -95% |
| Ethic | NY | $7.82 billion | $10.12 billion | +29% |
| Prosperity - an Eisneramper Company | MD | $3.20 billion | $5.04 billion | +58% |
| Castle Rock Advisors LLC | MA | $2.38 billion | $3.86 billion | +62% |
| Guggenheim Asset-backed Finance Company, LLC | NY | $0 | $1.44 billion | |
| Carronade Capital Management, LP | CT | $3.43 billion | $4.82 billion | +40% |
| Merk Investments LLC | CA | $3.71 billion | $2.54 billion | -32% |
| Uplift | CT | $230.5 million | $1.08 billion | +370% |
| Corgi Strategies, LLC | IL | $10.0 million | $825.1 million | +8141% |
| Tbg-bedford Group LLC | MO | $0 | $758.1 million | |
| Whiterock Wealth Design, LLC | AR | $0 | $632.9 million | |
| Boden Wealth | PA | $0 | $581.8 million | |
| Elyxium Wealth LLC | CA | $819.0 million | $1.39 billion | +70% |
| N10° Wealth | CT | $0 | $553.1 million | |
| Valen Private Capital, LLC. | PA | $0 | $482.6 million | |
| Ikalon Advisors LLC | FL | $0 | $442.1 million | |
| Skylar Capital Management LP | TX | $0 | $437.7 million | |
| Silver Birch Financial LLC | $0 | $399.5 million | ||
| Waypoint Wealth Counsel LLC | GA | $824.3 million | $433.3 million | -47% |
| Stoneridge Pmg Advisors, LLC | PA | $390.7 million | $774.2 million | +98% |
| Xypn Sapphire | MT | $881.5 million | $1.25 billion | +42% |
| Kynance Cove Capital LLP | $0 | $365.0 million | ||
| Tsfg, LLC | IL | $997.2 million | $642.8 million | -36% |
| Integrated Financial Strategies, LLC | FL | $322.0 million | $0 | -100% |
| N10° Assets | CT | $0 | $306.9 million | |
| Mardin Capital Group | NH | $0 | $306.2 million | |
| Veneroso Wealth Management | NY | $0 | $298.8 million | |
| Factorpoint Planning, LLC | NY | $0 | $287.9 million | |
| Las Olas Capital Advisors, LLC | FL | $551.9 million | $267.2 million | -52% |
| Las Olas Capital Wealth LLC | FL | $0 | $269.1 million | |
| Gld Advisors, LLC | FL | $0 | $257.3 million | |
| Faithward Capital | PA | $922.7 million | $1.18 billion | +27% |
| Liberty Forge LLC | MA | $0 | $250.8 million | |
| Foguth Wealth Management, LLC. | MI | $825.1 million | $1.07 billion | +30% |
| Awaken Wealth Partners LLC | TX | $0 | $237.3 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.
- Access Capital, LLC
- Adler Asset Management, LLC
- American Asset Management Inc.
- Ams Children's Fund, LP
- Anfield Capital Management, LLC
- Arctis Global LLC
- Aurora Wealth Advisors
- Callodine Strategic Credit Fund Iii Management, LLC
- Cantillon Capital Management LLC
- Cantillon Capital Management LLP
- Capital Advisors, Inc.
- Catton Capital Partners, LLC
- Charter Oak Capital Management
- Clearview Wealth Advisors, LLC
- Cordant Wealth Partners
- Diamond Wealth Management, LLC
- Dipsea Capital, LLC
- Eagleson Arndt Financial Advisors
- Eaton Financial Group
- Embervest
- Empower Private Wealth
- Epfc Capital Partners
- Etna Capital
- Evernest Financial Advisors
- Financially in Tune
- Flatiron Fund Management LP
- Forvm Global Investments LLC
- Gia Partners, LLC.
- Gray Lion Capital
- Haven Capital Advisors, LLC
- Herbein Financial Group, LLC
- Hfg Advisors
- Holistic Financial Partners, LLC
- Hsc Wealth Advisors
- Ims Capital Management
- Innovative Family Office LLC
- Insight Investment Research
- Jm Financial Private Wealth, Inc.
- Kowalski Financial Inc.
- Lionstone Investments
- Lwm Advisory Services, LLC
- Marathon Wealth Management, Inc.
- Mazars Wealth Advisors
- Miramar Capital
- Miura Global Management, LLC
- Mpact Capital
- Mpi Infinite Investors, LLC
- Mrwm Capital Management, LLC
- Oakum Bay Capital, LLC
- One Charles Private Wealth
- One Stone Global LLC
- Orion Partners, LLC
- Palouse Capital Management, Inc.
- Profit Investments
- Propel Private Wealth LLC
- Quadrature US Inc.
- Redmont Wealth
- Rocky Mountain Private Wealth Management, L.L.C.
- Running Point Capital Advisors LLC
- Sandpath LLC
- Seascape Capital Management,llc
- Seneca House Advisors
- Stoneridge Investment Partners
- Symbiosis Capital Partners, LLC
- Taproot Management LP
- Teachers Advisors, LLC
- The Capital Advisory Group Advisory Services, LLC
- The O'donnell Group
- Trove Investment Advisors LLC
- True Vision Financial Advisors
- Unity Wealth Partners
- Up Fintech Asset Management
- US Financial Planners, LLC
- Viridian Capital
- Volt Investment Holdings LLC
- Waddell & Associates, LLC