What changed in 2026-10
Comparing the SEC's 2026-09-01 and 2026-10-01 Form ADV snapshots.
Newly registered
134
Deregistered
73
Newly disclosed
36
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.
1832 Asset Management U.S. Inc. · Toronto, Ontario
- A self-regulatory organization found a violation of its rules
A Better Way Financial, LLC · Allentown, PA
- Charged with a felony (past 10 years)
Aldebaran Capital · Brooklyn, NY
- Any disclosure event involving the firm or its supervised persons
- SEC or CFTC found a violation of its regulations or statutes
- 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 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
Almega Wealth Management · Scottsdale, AZ
- Another regulator found a violation of investment-related regulations or statutes
Blackridge Asset Management, LLC · Jupiter, FL
- Any disclosure event involving the firm or its supervised persons
- 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)
- A self-regulatory organization found a false statement or omission
Brookfield Public Securities Group 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
Btg Pactual Asset Management US , LLC · New York, NY
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Diversified Wealth Advisors, LLC · Kansas City, MO
- Any disclosure event involving the firm or its supervised persons
- Another regulator found a violation of investment-related regulations or statutes
- 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
Eagle Financial Advisors, LLC · Frisco, TX
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator denied, suspended, or revoked a registration or restricted activity
Epoch Capital, US · New York, NY
- Another regulator found a violation of investment-related regulations or statutes
Everoak Wealth Co · Colorado Springs, CO
- Any disclosure event involving the firm or its supervised persons
- Another regulator found a violation of investment-related regulations or statutes
Exos Asset Management LLC · New York, NY
- Any disclosure event involving the firm or its supervised persons
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Florida Financial Advisors, LLC · Tampa, FL
- Another regulator entered an order in connection with investment-related activity (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
Hatteras Investment Partners, LP · Raleigh, NC
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Herndon Plant Oakley Ltd · Corpus Christi, TX
- Any disclosure event involving the firm or its supervised persons
- A self-regulatory organization found a violation of its rules
Holm & Baucom Wealth Advisors, LLC · Victoria, TX
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
J. Hagan Capital, Inc. · Louisville, KY
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Legacy Partners Financial Group, LLC · Woodstock, GA
- Another regulator found a violation of investment-related regulations or statutes
Live Oak Family Offices LLC
- 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)
Madison Avenue Securities, LLC · San Diego, CA
- Convicted of or pled guilty/no contest to a felony (past 10 years)
Modera Wealth Management, LLC · Westwood, NJ
- Any disclosure event involving the firm or its supervised persons
- Charged with a felony (past 10 years)
Murray Securities, Inc. · Tyler, TX
- A self-regulatory organization found a violation of its rules
Navellier & Associates Inc · Reno, NV
- 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
Old Mission Asset Management LLC · Chicago, IL
- A self-regulatory organization found a violation of its rules
Proficient Wealth Counselors, LLC · Norwood, 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)
Pts Brokerage, LLC · Mount Laurel, NJ
- Any disclosure event involving the firm or its supervised persons
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Qic · New York, NY
- Any disclosure event involving the firm or its supervised persons
Qic Investments No. 1 Pty Ltd · Brisbane Queensland
- Any disclosure event involving the firm or its supervised persons
Sr Abf Advisors LP · New York, NY
- Any disclosure event involving the firm or its supervised persons
- Convicted of or pled guilty/no contest to a felony (past 10 years)
- Charged with a felony (past 10 years)
- 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
- Another regulator found a violation of investment-related regulations or statutes
- A self-regulatory organization found a violation of its rules
Strategence Capital LLC · Van Wert, OH
- Another regulator found a violation of investment-related regulations or statutes
Thurston Springer Advisors · Indianapolis, IN
- Any disclosure event involving the firm or its supervised persons
- 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
- 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
Tidmore Retirement Planning Specialists · Beachwood, OH
- 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)
Traver Financial Consulting Network Pa · Lakewood Ranch, FL
- Another regulator found a violation of investment-related regulations or statutes
Tsg Alpha Partners, LLC · Old Bridge, NJ
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Zoe Financial, Inc. · 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 |
|---|---|---|---|---|
| Capital Bank and Trust Company | CA | $139.29 billion | $250.98 billion | +80% |
| Ifm Investors Pty Ltd | $152.93 billion | $202.97 billion | +33% | |
| Vinva Investment Management | $17.64 billion | $42.90 billion | +143% | |
| Private Advisor Group, LLC | NJ | $44.33 billion | $57.70 billion | +30% |
| Life Cycle Investment Partners Limited | $17.30 billion | $29.38 billion | +70% | |
| Adp Strategic Plan Services, LLC | NJ | $23.78 billion | $32.40 billion | +36% |
| Pacific Asset Management | $12.88 billion | $20.69 billion | +61% | |
| Caledonia (Private) Investments Pty Limited | $10.23 billion | $5.25 billion | -49% | |
| Coolabah Capital Institutional Investments Pty Limited | $9.80 billion | $13.92 billion | +42% | |
| Morant Wright Management Limited | $7.43 billion | $10.99 billion | +48% | |
| Isam Funds (Uk) Limited | $2.63 billion | $5.95 billion | +127% | |
| Isam Funds (USA) LLC | FL | $2.63 billion | $5.95 billion | +127% |
| Crownstone Advisory & Investment Corp | NY | $0 | $3.00 billion | |
| Proficio Capital Partners LLC | MA | $5.27 billion | $8.17 billion | +55% |
| Ardea Investment Management | $6.30 billion | $3.47 billion | -45% | |
| Thurston Springer Advisors | IN | $3.68 billion | $6.01 billion | +63% |
| Beacon Coast Partners, LLC | CA | $0 | $2.28 billion | |
| Investcorp Investment Solutions LLC | NY | $2.79 billion | $4.72 billion | +70% |
| Flexstone Partners, LLC | NY | $5.30 billion | $7.20 billion | +36% |
| Xcelsior Advisor Partners LLC | AZ | $650.7 million | $2.51 billion | +286% |
| Spider Management Company, LLC | VA | $6.41 billion | $8.11 billion | +26% |
| Tuttle Capital Management, LLC | $3.91 billion | $5.50 billion | +41% | |
| M1 Advisory | IL | $633,573 | $1.48 billion | +233496% |
| Intellectus Partners, LLC | CA | $1.57 billion | $2.98 billion | +90% |
| Braidwell LP | CT | $4.98 billion | $3.63 billion | -27% |
| Pbmares Wealth Management LLC | VA | $1.30 billion | $0 | -100% |
| Sharpe Advisors, LLC | NY | $0 | $1.23 billion | |
| Bronte Capital | $1.15 billion | $2.32 billion | +102% | |
| Bedford Ridge Capital | NY | $2.61 billion | $3.76 billion | +44% |
| Maridea Wealth Management | NY | $958.7 million | $1.97 billion | +106% |
| Summa Corp. | TX | $587.2 million | $1.59 billion | +170% |
| Moorstone, L.P. | NY | $2.18 billion | $3.11 billion | +43% |
| Broadside Wealth | CA | $0 | $874.5 million | |
| Clarity Investment Management Inc. | $1.13 billion | $1.94 billion | +72% | |
| Jack Creek Partners LLC | NY | $0 | $809.0 million | |
| Verecan Capital Management Inc. | $692.7 million | $1.49 billion | +115% | |
| Intentgen Financial Partners | IL | $0 | $756.6 million | |
| Grand Alliance Asset Management Ltd. | $1.81 billion | $2.56 billion | +42% | |
| Blue Horizon Equity, Inc. | NY | $0 | $745.9 million | |
| Range Advisory, LLC | VA | $653.9 million | $1.39 billion | +112% |
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.
- 20 Gates Management LLC · New York, NY
- Arbor Capital Management Inc · Anchorage, AK
- Armory Capital Group, LLC · El Segundo, CA
- Atomic Vaults Advisors LLC · San Francisco, CA
- Banyan Global Investment Advisors, LLC · Boca Raton, FL
- Barrier Capital Management, LLC · San Francisco, CA
- Baseline Partners LLC · Mesa, AZ
- Bill Losey Retirement Solutions, LLC
- Blockbridge Investments LLC · Minneapolis, MN
- Brave Family Advisors · Summit, NJ
- By Crypto Management, LLC · Little Rock, AR
- Capital Management Associates Inc · New York, NY
- Capstone Wealth Management Group, LLC · Bend, OR
- Cederberg Capital Asia Limited · Tsim Sha Tsui, Kowloon
- Cederberg Capital Limited · London
- Central Family Advisors, LLC · New York, NY
- Coker & Palmer · Jackson, MS
- Collab+currency Management, LLC
- Corrum Capital Management · Charlotte, NC
- David P. Gilliam & Associates, Inc. · Muncie, IN
- Efs Asset Management LLC · Dallas, TX
- Ergus Asset Management Ltd. · Nassau
- Evoke Advisors · Los Angeles, CA
- Financial Planning Associates, LLC · White Plains, NY
- Forty Three Eighteen Advisors, LLC · Bentonville, AR
- Genesis Asset Management Group, Inc.
- Gratia Capital, LLC · Los Angeles, CA
- Grounded Capital, LLC · Mill Valley, CA
- Gvs Financial Group, Inc.
- Harspring Capital Management, LLC · New York, NY
- Harvest Investment Consultants LLC · Hunt Valley, MD
- Heartwood Funds · New York, NY
- High Falls Advisors, Inc. · Rochester, NY
- Iam Advisory LLC · Easton, PA
- Inclusive Capital Partners, L.P. · San Francisco, CA
- Ingalls Investment Management, LLC · New York, NY
- Jobs Peak Advisors
- Li Enterprises · San Francisco, CA
- Madison Capital Partners · Chicago, IL
- Marin Wealth Advisors LLC · San Rafael, CA
- Maze Investments, LLC · Los Angeles, CA
- Millares Asset Management, LLC · Coral Gables, FL
- Misaki Capital Inc. · Tokyo
- Mosaic Capital Inc. · George Town, Grand Cayman
- Motley Fool Wealth Management, LLC · Alexandria, VA
- Mrp Advisors, LLC
- Naples Private Capital, LLC · Mooresville, NC
- Northern Capital Retirement Services, Inc. · Spokane, WA
- Oaklawn Capital Management LLC
- Oew Investment Advisors LP · Austin, TX
- Opes Wealth Management, LLC · Menlo Park, CA
- Pinnacle Wealth Management, LLC · Roseville, CA
- Plum Pointe Wealth Management · Providence, RI
- Qvr Advisors · San Francisco, CA
- Sachetta, LLC · Lynnfield, MA
- Sage Trading Collective
- Sapphire Blue Investment Partners · Fenton, MI
- Socha Financial Group, LLC · Corning, NY
- Socotra Management, Inc. · Sacramento, CA
- Spx Capital Management LLC · New York, NY
- Sterling Legacy Advisors Inc.
- Stillwater Capital Advisors, LLC · Devon, PA
- Sunriver Management LLC · Greenwich, CT
- Thirdline Capital Management LLC · Richmond, VA
- Trippon Wealth Management Group LLC · Houston, TX
- Two Creeks Capital Management, LP · New York, NY
- U.S. Capital Wealth Advisors, LLC · Houston, TX
- U.S. Private Wealth, LLC · Palm Beach Gardens, FL
- Wagner Loftin Investment Services LLC · Pleasant Hill, CA
- Wealthplans, LLC · Frederick, MD
- Wealthshield Partners, LLC · Cary, NC
- Westend Advisors, LLC · Charlotte, NC
- X Cubed Capital Management LLC · Minneapolis, MN