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 11 of 12
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 49 | 2026-10-20 | TUMONT CAPITAL MANAGEMENT LP CRD 344737 · 802-137754 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-20 | AXON FINANCE LTD CRD 345089 · 802-137751 | New exempt reporting adviser | Denver, CO | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-10-20 | FINTOP LLC CRD 344995 · 802-137759 | New state-registered adviser | Nashville, TN | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-20 | LANIER ASSET MANAGEMENT, LLC CRD 150888 · 801-107331 | New state-registered adviser | Louisville, KY | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-20 | SEVENSIXNINE PARTNERS LLC CRD 345071 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-10-20 | BIT POWER LLC CRD 344981 | New state-registered adviser | Sacramento, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-20 | WILLOW WEALTH MANAGEMENT LLC CRD 343427 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 35 | 2026-10-20 | IRVING STREET LLC CRD 343099 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-20 | ERS CAPITAL MANAGEMENT LLC CRD 334170 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-20 | BRIARDALE WEALTH LLC CRD 343855 | New state-registered adviser | — | 2 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-20 | NOYA INVESTMENT ADVISORS LLC CRD 344560 | New state-registered adviser | Birmingham, MI | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 92 | 2026-10-21 | OVERBAY CAPITAL PARTNERS CRD 298996 · 801-137514 | New SEC-registered adviser | Toronto | 18 | $3B | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 82 | 2026-10-21 | CLEAN ENERGY VENTURE MANAGEMENT, LLC CRD 292055 · 801-137537 | New SEC-registered adviser | Boston, MA | 23 | $416M | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 79 | 2026-10-21 | CAPITAL SYNERGY PARTNERS CRD 148733 · 801-136697 | New SEC-registered adviser | Irvine, CA | 46 | $102M | Broker-dealer affiliate10+ employees | subscribers | IAPD |
| 49 | 2026-10-21 | LIVELLO CAPITAL MANAGEMENT LP CRD 305403 · 802-137769 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | VERIX EQUITY PARTNERS CRD 341406 · 802-137768 | New exempt reporting adviser | Boca Raton, FL | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | COBAN CAPITAL CRD 345138 · 802-137763 | New exempt reporting adviser | Jersey City, NJ | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | WESTMINSTER & PARTNERS CRD 344912 · 802-137762 | New exempt reporting adviser | London, Greater London | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | BLACK BOX VENTURES CRD 340185 · 802-137766 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | BRACE EQUITY PARTNERS MANAGEMENT CRD 343964 · 802-137764 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-21 | DALTOK CAPITAL MANAGEMENT, LLC CRD 344720 | New state-registered adviser | Denton, TX | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-21 | VERIX EQUITY PARTNERS CRD 341406 · 802-137768 | New state-registered adviser | Boca Raton, FL | — | — | Advises private funds | subscribers | IAPD |
| 38 | 2026-10-21 | VISIONS ANALYSIS LLC CRD 286678 | New state-registered adviser | Endicott, NY | 4 | — | subscribers | IAPD | |
| 35 | 2026-10-21 | TRIESTE PARTNERS LLC CRD 344011 | New state-registered adviser | — | 1 | $0 | No RAUM yetPerformance fees | subscribers | IAPD |
| 35 | 2026-10-21 | SLOPE ADVISORS LLC CRD 342973 | New state-registered adviser | Lehi, UT | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-21 | ATLANTICA INVESTMENT PARTNERS CRD 343789 | New state-registered adviser | Tinton Falls, NJ | 1 | — | No website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-21 | BELLATRICE WEALTH CRD 309105 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-21 | FUNCTION WEALTH ADVISORS LLC CRD 344306 | New state-registered adviser | Prescott, AZ | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 79 | 2026-10-22 | CARAPACE FINANCIAL ADVISORS LLC CRD 291404 · 801-137517 | New SEC-registered adviser | Bedminster, NJ | 5 | $106M | Advises private fundsHas custody | subscribers | IAPD |
| 75 | 2026-10-22 | ROUND TABLE INVESTMENT STRATEGIES, LLC CRD 139492 · 801-137576 | New SEC-registered adviser | Lincoln, NE | 4 | $107M | Notice-filed in 5+ states | subscribers | IAPD |
| 71 | 2026-10-22 | SELECT WEALTH PARTNERS CRD 344024 · 801-137574 | New SEC adviser (120-day rule) | Middletown, NY | 19 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 71 | 2026-10-22 | PRESIDIO GROUP ADVISORS CRD 344581 · 801-137565 | New SEC-registered adviser | Walnut Creek, CA | 4 | $439M | subscribers | IAPD | |
| 65 | 2026-10-22 | CMPD12 CAPITAL, LLC CRD 344646 · 801-137590 | New SEC adviser (120-day rule) | — | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-22 | DRIFTMARK CAPITAL CRD 338531 · 801-137575 | New SEC adviser (120-day rule) | Dallas, TX | 3 | — | 120-day rule (must reach $100M RAUM)Has custody | subscribers | IAPD |
| 62 | 2026-10-22 | BLUE ORCA SECURITIES CRD 344606 · 801-137556 | New SEC adviser (120-day rule) | North Palm Beach, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-10-22 | CAMPEONES FC LLC CRD 344699 · 801-137605 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 58 | 2026-10-22 | SAMAN WM LLC CRD 344385 · 801-137543 | New SEC-registered adviser | Manizales, Caldas | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 53 | 2026-10-22 | ORION CAPITAL WEALTH AND INVESTMENT MANAGEMENT, LLC CRD 343682 · 801-137438 | New SEC adviser (120-day rule) | Las Vegas, NV | 11 | — | 120-day rule (must reach $100M RAUM)10+ employeesNo website listed+1 | subscribers | IAPD |
| 49 | 2026-10-22 | BONDL LLC CRD 345170 · 802-137772 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-22 | PORTELL CAPITAL FUND IM, LLC CRD 344839 · 802-137776 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-22 | BEGIN CAPITAL MANAGEMENT CRD 344831 · 802-137775 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-22 | CONTRARIAN ALPHA MANAGEMENT, LLC CRD 345133 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-22 | PORTELL CAPITAL FUND IM, LLC CRD 344839 · 802-137776 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-22 | GRADIENT ASCENT MANAGEMENT, LLC CRD 344710 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-22 | SIRIUS CAPITAL ADVISORS LLC CRD 343221 | New state-registered adviser | — | 4 | $0 | No RAUM yetNo website listedHas custody+1 | subscribers | IAPD |
| 35 | 2026-10-22 | AG ALCHEMY CRD 343863 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-22 | MANSION WEALTH CRD 343804 | New state-registered adviser | Tampa, FL | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-22 | NASH FINANCIAL PLANNING CRD 343545 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-22 | WHOLE PICTURE WEALTH MANAGEMENT LLC CRD 344383 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 20 | 2026-10-22 | SONRISE OPPORTUNITY CORP. CRD 341327 | New state-registered adviser | — | 1 | $0 | No RAUM yetDisciplinary disclosure | subscribers | IAPD |
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