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 the month before. 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 · Wichita, KS
- Adler Asset Management, LLC · New York, NY
- American Asset Management Inc. · Boca Raton, FL
- Ams Children's Fund, LP
- Anfield Capital Management, LLC · Irvine, CA
- Arctis Global LLC
- Aurora Wealth Advisors · San Diego, CA
- Callodine Strategic Credit Fund Iii Management, LLC · Atlanta, GA
- Cantillon Capital Management LLC · New York, NY
- Cantillon Capital Management LLP · London
- Capital Advisors, Inc. · Tulsa, OK
- Catton Capital Partners, LLC · San Francisco, CA
- Charter Oak Capital Management · Portsmouth, NH
- Clearview Wealth Advisors, LLC · Salem, OR
- Cordant Wealth Partners · Portland, OR
- Diamond Wealth Management, LLC · Alpine, UT
- Dipsea Capital, LLC · Mill Valley, CA
- Eagleson Arndt Financial Advisors · Thousand Oaks, CA
- Eaton Financial Group · Coral Springs, FL
- Embervest
- Empower Private Wealth · New York, NY
- Epfc Capital Partners · New York, NY
- Etna Capital · Hong Kong
- Evernest Financial Advisors · Carmel, IN
- Financially in Tune · Stoneham, MA
- Flatiron Fund Management LP · West Palm Beach, FL
- Forvm Global Investments LLC · New York, NY
- Gia Partners, LLC. · New York, NY
- Gray Lion Capital
- Haven Capital Advisors, LLC · Charlotte, NC
- Herbein Financial Group, LLC · Allentown, PA
- Hfg Advisors · Greenwood Village, CO
- Holistic Financial Partners, LLC · Indianapolis, IN
- Hsc Wealth Advisors · Forest, VA
- Ims Capital Management · Clackamas, OR
- Innovative Family Office LLC · Somers, NY
- Insight Investment Research
- Jm Financial Private Wealth, Inc. · New York, NY
- Kowalski Financial Inc. · Minneapolis, MN
- Lionstone Investments · Boston, MA
- Lwm Advisory Services, LLC · Plantation, FL
- Marathon Wealth Management, Inc. · Melville, NY
- Mazars Wealth Advisors · New York, NY
- Miramar Capital · Northbrook, IL
- Miura Global Management, LLC
- Mpact Capital
- Mpi Infinite Investors, LLC · Gilbert, AZ
- Mrwm Capital Management, LLC · Nashville, TN
- Oakum Bay Capital, LLC
- One Charles Private Wealth · Hingham, MA
- One Stone Global LLC · Boston, MA
- Orion Partners, LLC · San Francisco, CA
- Palouse Capital Management, Inc. · Spokane, WA
- Profit Investments · North Bethesda, MD
- Propel Private Wealth LLC
- Quadrature US Inc. · New York, NY
- Redmont Wealth · Chicago, IL
- Rocky Mountain Private Wealth Management, L.L.C. · Sugar Land, TX
- Running Point Capital Advisors LLC · El Segundo, CA
- Sandpath LLC
- Seascape Capital Management,llc · Portsmouth, NH
- Seneca House Advisors · Richmond, VA
- Stoneridge Investment Partners · Radnor, PA
- Symbiosis Capital Partners, LLC · Bentonville, AR
- Taproot Management LP · New York, NY
- Teachers Advisors, LLC · New York, NY
- The Capital Advisory Group Advisory Services, LLC · Phoenix, AZ
- The O'donnell Group · Chico, CA
- Trove Investment Advisors LLC · Dallas, TX
- True Vision Financial Advisors · Woodbury, MN
- Unity Wealth Partners · Newport Beach, CA
- Up Fintech Asset Management · Newtown Square, PA
- US Financial Planners, LLC · Asheville, NC
- Viridian Capital · Purchase, NY
- Volt Investment Holdings LLC · Brooklyn, NY
- Waddell & Associates, LLC · Memphis, TN