New investment advisers
SEC, exempt-reporting and state adviser registrations from the IAPD daily feeds, within a day or two of approval. Scored for compliance consultants, custodians, archiving, cyber, E&O and RIA software. Subscribers see the filing phone, website and address.
New exempt reporting adviser · 130New SEC-registered adviser · 83New SEC adviser (120-day rule) · 80New state-registered adviser · 282
575 registrations effective in the last 45 days · page 10 of 12
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 61 | 2026-10-16 | GOLDEN STATE TECH INC. CRD 344407 · 801-137540 | New SEC-registered adviser | Rowland Heights, CA | 5 | — | subscribers | IAPD | |
| 58 | 2026-10-16 | SUNCOAST CAPITAL MANAGEMENT CRD 330256 · 801-137553 | New SEC-registered adviser | — | 3 | — | subscribers | IAPD | |
| 55 | 2026-10-16 | SINDARIN CAPITAL LLC CRD 344079 · 801-137548 | New SEC-registered adviser | Fairport, NY | 1 | — | No website listed | subscribers | IAPD |
| 49 | 2026-10-16 | COATES, ROBERT CAINON CRD 340237 · 802-137740 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | TROOP CAPITAL MANAGEMENT CRD 315588 · 802-137734 | New exempt reporting adviser | Dallas, TX | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | ASTER CAPITAL MANAGEMENT (DIFC) LTD CRD 344927 · 802-137730 | New exempt reporting adviser | Dubai | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | DUNE VENTURES MANAGEMENT, LP CRD 337853 · 802-137732 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-10-16 | THOMPSON MERIDIAN ADVISORS CRD 343162 · 802-137741 | New exempt reporting adviser | Austin, TX | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | PEARL STREET CAPITAL PARTNERS CRD 340491 · 802-137733 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | ESFERA INVESTMENT GROUP CRD 345035 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | FUTURE LABS CAPITAL, LLC CRD 332041 | New state-registered adviser | Jeffersonville, IN | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | FUTURE LABS CAPITAL II, LLC CRD 344596 | New state-registered adviser | Jeffersonville, IN | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | COATES, ROBERT CAINON CRD 340237 · 802-137740 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-16 | PARADISE CAPITAL MANAGEMENT LLC CRD 344483 | New state-registered adviser | San Juan, PR | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-16 | AMICUS ADVISORS LLC CRD 339097 | New state-registered adviser | Vienna, VA | 1 | $0 | No RAUM yetPerformance fees | subscribers | IAPD |
| 35 | 2026-10-16 | CPA TEACHES LLC CRD 344201 | New state-registered adviser | Towson, MD | 1 | — | subscribers | IAPD | |
| 35 | 2026-10-16 | TELOS FINANCIAL SERVICES, LLC CRD 343777 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | LEONARD WEALTH SOLUTIONS LLC CRD 339723 | New state-registered adviser | Mount Laurel, NJ | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | CLIFFORD ALAN INC. CRD 344225 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | OPG ASSET MANAGEMENT CRD 344658 | New state-registered adviser | Bethesda, MD | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-16 | ECLIPSE WEALTH MANAGEMENT CRD 343453 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | VIOLET CROWN WEALTH ADVISORS LLC CRD 343877 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | BROOKSIDE WEALTH MANAGEMENT LLC CRD 344343 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | PENNLITON MANAGEMENT LLC CRD 342895 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 43 | 2026-10-17 | COLIBRI CAPITAL CRD 344952 | New state-registered adviser | Nashville, TN | — | — | Advises private funds | subscribers | IAPD |
| 76 | 2026-10-19 | PEAK6 ADVISORY SERVICES CRD 343264 · 801-137283 | New SEC adviser (120-day rule) | New York, NY | 14 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate10+ employees+2 | subscribers | IAPD |
| 71 | 2026-10-19 | BRAVE NEW WEALTH CRD 336030 · 801-137502 | New SEC-registered adviser | Westlake Village, CA | 4 | $131M | subscribers | IAPD | |
| 66 | 2026-10-19 | C2C PRIVATE WEALTH, LLC CRD 343915 · 801-137363 | New SEC adviser (120-day rule) | Miami, FL | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed+1 | subscribers | IAPD |
| 65 | 2026-10-19 | INNOVATIVE WEALTH PLANNING, LLC CRD 344346 · 801-137456 | New SEC adviser (120-day rule) | Suffield, CT | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 58 | 2026-10-19 | MIRROR ADVISERS LLC CRD 344604 · 801-137552 | New SEC-registered adviser | — | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 58 | 2026-10-19 | BUILDSAINTS CRD 344466 · 801-137444 | New SEC-registered adviser | New York, NY | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 49 | 2026-10-19 | WYDDIAL CAPITAL MANAGEMENT LLP CRD 345064 · 802-137745 | New exempt reporting adviser | London, England | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-19 | NONPUBLIC CRD 344722 · 802-137750 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-19 | DREW INVESTMENT MANAGEMENT, INC. CRD 344478 · 802-137748 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-19 | TRENCHES CAPITAL MANAGEMENT LLC CRD 341839 · 802-137742 | New exempt reporting adviser | Phoenix, AZ | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 46 | 2026-10-19 | WESTBROOK WYDDIAL REALTY MANAGEMENT GP LIMITED CRD 345072 · 802-137746 | New exempt reporting adviser | St. Helier | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 45 | 2026-10-19 | REDHAWK ADVISORY CRD 297454 · 802-131710 | New state-registered adviser | Birmingham, AL | 2 | $33M | Advises private fundsNo website listed | subscribers | IAPD |
| 45 | 2026-10-19 | MOGUL ADVISORS LLC CRD 345076 | New state-registered adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 35 | 2026-10-19 | VESTMENT 401K ADVISORS LLC CRD 344354 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-19 | A.M.FINTELLIGENCE CRD 344436 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 73 | 2026-10-20 | MIURA INVESTMENT ADVISORS, INC CRD 283148 · 801-133970 | New SEC-registered adviser | Miami, FL | 6 | $392M | Broker-dealer affiliateNo website listedHas custody+1 | subscribers | IAPD |
| 72 | 2026-10-20 | NIGHTINGALE WEALTH SOLUTIONS CRD 342681 · 801-137492 | New SEC adviser (120-day rule) | Needham, MA | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 71 | 2026-10-20 | RETIREPATH WEALTH, LLC CRD 324109 · 801-137409 | New SEC-registered adviser | Little Rock, AR | 6 | $110M | Has custody | subscribers | IAPD |
| 71 | 2026-10-20 | BOLLIN WEALTH MANAGEMENT, LLC CRD 150396 · 801-137559 | New SEC-registered adviser | Perrysburg, OH | 4 | $153M | subscribers | IAPD | |
| 70 | 2026-10-20 | GRAVITY ADVISERS LLC CRD 344703 · 801-137563 | New SEC adviser (120-day rule) | Houston, TX | 1 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate | subscribers | IAPD |
| 65 | 2026-10-20 | THREE OAKS ADVISORY GROUP, LLC CRD 344348 · 801-137566 | New SEC adviser (120-day rule) | Richardson, TX | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 58 | 2026-10-20 | ADONEX AMERICA CRD 344643 · 801-137557 | New SEC-registered adviser | Taipei | 2 | — | subscribers | IAPD | |
| 49 | 2026-10-20 | LAKESHORE CAPITAL ASIA LTD. CRD 344631 · 802-137760 | New exempt reporting adviser | Singapore | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-20 | MERIDA CAPITAL HOLDINGS LLC CRD 287784 · 802-137756 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-20 | FINTOP LLC CRD 344995 · 802-137759 | New exempt reporting adviser | Nashville, TN | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
Free weekly sample: five scored new adviser registrations every Monday
One week delayed, headline and summary only, no card. It exists so you can judge the scoring before paying.