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 · 133New SEC-registered adviser · 88New SEC adviser (120-day rule) · 85New state-registered adviser · 287
593 registrations effective in the last 45 days · page 5 of 12
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 40 | 2026-09-25 | LEGACY 305 FRHK VENTURE LLC CRD 344628 | New state-registered adviser | Keller, TX | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-09-25 | CORNER SPEED CAPITAL PARTNERS CRD 344293 · 802-137595 | New state-registered adviser | Fort Worth, TX | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-09-25 | ZEAL APEX MANAGEMENT LLC CRD 342996 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-09-25 | ATHARI INTERNATIONAL LLC CRD 344797 | New state-registered adviser | Houston, TX | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-09-25 | FORMATA LABS CAPITAL ADVISORS, LLC CRD 344768 | New state-registered adviser | San Francisco, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 38 | 2026-09-25 | FINHIVE DISTRIBUTION CRD 340342 | New state-registered adviser | Dallas, TX | 4 | — | subscribers | IAPD | |
| 35 | 2026-09-25 | LODESTONE FIDUCIARY LLC CRD 344016 | New state-registered adviser | Minnetonka, MN | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-25 | SHOREGLASS FINANCIAL STUDIO CRD 344363 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 35 | 2026-09-25 | ANDROMEDA WEALTH LLC CRD 343233 | New state-registered adviser | Miami, FL | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-09-25 | BELLEAU WOOD ADVISORS CRD 344280 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-09-25 | NAX CAPITAL LLC CRD 342755 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-09-25 | ELESSAR WEALTH CRD 343470 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-09-25 | HUNDRED FINANCIAL PLANNING CRD 343895 | New state-registered adviser | Grand Rapids, MI | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-09-25 | ALLIED PLANNING PARTNERS CRD 344396 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 32 | 2026-09-25 | GTC WEALTH SOLUTIONS, LLC CRD 343377 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 43 | 2026-09-27 | PHILIP EQUITIES MANAGEMENT LLC CRD 343556 | New state-registered adviser | Greenwich, CT | — | — | Advises private funds | subscribers | IAPD |
| 68 | 2026-09-28 | JOHNSTON INVESTMENT COUNSEL, LTD. CRD 109726 · 801-136986 | New SEC-registered adviser | Peoria, IL | 2 | $125M | subscribers | IAPD | |
| 65 | 2026-09-28 | AEGIS GUILD CAPITAL, LLC CRD 339354 · 801-137129 | New SEC adviser (120-day rule) | New York, NY | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-09-28 | ACTIONS CAPITAL MANAGERS LLC CRD 341513 · 802-137606 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-28 | INDUSTRIAL CAPITAL MANAGEMENT, LLC CRD 343864 · 802-137611 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-28 | INNOSPHERE ADVISORS, INC. CRD 288306 · 802-137610 | New exempt reporting adviser | Fort Collins, CO | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-09-28 | JTBV CRD 344260 · 802-137604 | New exempt reporting adviser | La Porte, IN | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-28 | ABBAEI MANAGER LLC CRD 344811 · 802-137601 | New exempt reporting adviser | Naples, FL | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-28 | UCPUS, INC. CRD 343190 · 802-137607 | New exempt reporting adviser | Miami, FL | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-09-28 | INDUSTRIAL CAPITAL MANAGEMENT, LLC CRD 343864 · 802-137611 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-28 | ACTIONS CAPITAL MANAGERS LLC CRD 341513 · 802-137606 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-09-28 | WEALTHHAUS ALPHA IM, LLC CRD 344750 | New state-registered adviser | Greenwood, IN | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-09-28 | STRANDS CAPITAL MANAGEMENT GP, LLC CRD 344296 | New state-registered adviser | Dana Point, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-09-28 | PRUDENT HARBOR ADVISORS CRD 344007 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-28 | STRATEGIC APPLICATIONS AND SOLUTIONS, LLC CRD 343805 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 32 | 2026-09-28 | EAGLE FINANCIAL PLANNING CRD 343624 | New state-registered adviser | Eagle, ID | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 32 | 2026-09-28 | PERCIPIENT ADVISORS LLC CRD 343567 | New state-registered adviser | — | 1 | — | No website listedPerformance fees | subscribers | IAPD |
| 17 | 2026-09-28 | ROKI PRIVATE WEALTH CRD 344035 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listedDisciplinary disclosure | subscribers | IAPD |
| 78 | 2026-09-29 | LEGACY PARTNERS FINANCIAL GROUP, LLC CRD 137025 · 801-137399 | New SEC-registered adviser | Woodstock, GA | 10 | $108M | 10+ employeesNotice-filed in 5+ states | subscribers | IAPD |
| 68 | 2026-09-29 | CLEARWATER FINANCIAL PLANNING CRD 344096 · 801-137394 | New SEC adviser (120-day rule) | Lewiston, ID | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-09-29 | MANIFOLD INVESTMENT PARTNERS LLC CRD 344005 · 801-137386 | New SEC adviser (120-day rule) | San Francisco, CA | 5 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 68 | 2026-09-29 | LORUM ADVISORY LLC CRD 344055 · 801-137408 | New SEC adviser (120-day rule) | New York, NY | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 49 | 2026-09-29 | SERENDIPITY CAPITAL CRD 344480 · 802-137612 | New exempt reporting adviser | Singapore | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-29 | LAPRAES GLOBAL MANAGEMENT LLC CRD 344570 · 802-137617 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-29 | SERENDIPITY CAPITAL CRD 344518 · 802-137613 | New exempt reporting adviser | Cambridge, MA | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-29 | CHANNEL FOOTBALL GROUP, LLC CRD 343683 · 802-137620 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-29 | VISCONTI INDUSTRIES INCORPORATED® CRD 344778 · 802-137618 | New exempt reporting adviser | Coconut Grove, FL | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-29 | SHAKER SQUARE ADVISORS, LLC CRD 344743 · 802-137621 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-29 | ATRIUM CONSULTING LLC CRD 342930 · 802-137619 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-29 | MEGAPRO CORPORATION CRD 331099 | New state-registered adviser | St. Louis, MO | 4 | $2 | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 43 | 2026-09-29 | SERENDIPITY CAPITAL CRD 344518 · 802-137613 | New state-registered adviser | Cambridge, MA | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-09-29 | APAM, LLC CRD 331386 | New state-registered adviser | — | 2 | $17M | Advises private fundsNo website listedHas custody+1 | subscribers | IAPD |
| 40 | 2026-09-29 | ATRIUM CONSULTING LLC CRD 342930 · 802-137619 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-09-29 | CLOCKTOWER PRIVATE WEALTH CRD 343115 | New state-registered adviser | Simpsonville, SC | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-29 | LOVE WEALTH MANAGEMENT LLC CRD 338545 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
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