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 9 of 12
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 32 | 2026-10-13 | OCEAN IVY CAPITAL CRD 342276 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-13 | NOSARO CAPITAL LLC CRD 343765 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-13 | ROYAL WEALTH MANAGEMENT LLC CRD 344283 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 68 | 2026-10-14 | HEYMAN WEALTH MANAGEMENT, LLC CRD 154971 · 801-137494 | New SEC-registered adviser | Encino, CA | 2 | $115M | subscribers | IAPD | |
| 66 | 2026-10-14 | FOUNTAIN PRIVATE WEALTH, LLC CRD 344435 · 801-137598 | New SEC adviser (120-day rule) | Leawood, KS | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed+1 | subscribers | IAPD |
| 63 | 2026-10-14 | SAUL FUNDS MANAGEMENT LLC CRD 343912 · 801-137513 | New SEC-registered adviser | Miami, FL | 1 | $3M | Advises private fundsNo website listedHas custody+1 | subscribers | IAPD |
| 49 | 2026-10-14 | INOVIA CAPITAL CRD 340267 · 802-137718 | New exempt reporting adviser | Montreal, Quebec | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-14 | CEDERBERG CAPITAL LIMITED CRD 297836 · 802-137716 | New exempt reporting adviser | London | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-14 | QCORE FUND MANAGEMENT AG CRD 339570 · 802-137715 | New exempt reporting adviser | Zurich | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-14 | FALCON INVESTMENT MANAGEMENT CRD 332604 · 802-137711 | New exempt reporting adviser | London | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-14 | SWEETSPOT MANAGEMENT AND SERVICE LLC CRD 344181 · 802-137712 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-10-14 | MOE CAPITAL MANAGEMENT, LLC CRD 342556 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-10-14 | L-SQUARED INVESTMENT SOLUTIONS LLC CRD 343872 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 35 | 2026-10-14 | ORENTA CAPITAL CRD 342838 | New state-registered adviser | Rockford, IL | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-14 | ESCARPMENT FINANCIAL GROUP, LLC CRD 343281 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-14 | WEST GROVE WEALTH CRD 343908 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-14 | STEWARDED, LLC CRD 340739 | New state-registered adviser | Southlake, TX | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-14 | DAS FINANCIAL HEALTH (DFH) CRD 344134 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-14 | STRIDE WEALTH LLC CRD 344525 | New state-registered adviser | Queen Creek, AZ | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-14 | BLUEJAY ADVISOR CRD 343898 | New state-registered adviser | Lewiston, ID | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-14 | DENSITY CAPITAL LLC CRD 344094 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 75 | 2026-10-15 | ALLSTREET WEALTH CRD 309689 · 801-137516 | New SEC-registered adviser | — | 4 | $134M | Notice-filed in 5+ states | subscribers | IAPD |
| 74 | 2026-10-15 | AAN WEALTH ADVISORS LLC CRD 300652 · 801-136623 | New SEC-registered adviser | Canton, OH | 10 | $130M | 10+ employees | subscribers | IAPD |
| 71 | 2026-10-15 | GAP FINANCIAL SERVICES CRD 288703 · 801-137500 | New SEC-registered adviser | — | 5 | $132M | subscribers | IAPD | |
| 68 | 2026-10-15 | MAVERIQ CAPITAL GROUP LLC CRD 344599 · 801-137528 | New SEC adviser (120-day rule) | San Francisco, CA | 12 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees+2 | subscribers | IAPD |
| 68 | 2026-10-15 | BAY POINT FINANCIAL, LLC CRD 153017 · 801-137136 | New SEC-registered adviser | Bedford, NH | 1 | $105M | subscribers | IAPD | |
| 65 | 2026-10-15 | FRONTIER CAPITAL, LLC CRD 344504 · 801-137506 | New SEC adviser (120-day rule) | Pittsburgh, PA | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-15 | CLEROS WEALTH PARTNERS, LLC CRD 344362 · 801-137418 | New SEC adviser (120-day rule) | Denver, CO | 4 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 65 | 2026-10-15 | SIGHTCAST EQUITY GROUP, LLC CRD 344530 · 801-137525 | New SEC adviser (120-day rule) | — | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetPerformance fees | subscribers | IAPD |
| 65 | 2026-10-15 | INVESTORIA CRD 344482 · 801-137531 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 55 | 2026-10-15 | A-LINX ADVISORS, LLC CRD 340672 · 801-137530 | New SEC-registered adviser | Berwyn, PA | 2 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-10-15 | BITROOT VENTURES, LLC CRD 344471 · 802-137728 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-10-15 | BU BREGAL UNTERNEHMERKAPITAL B.V. CRD 341532 · 802-137727 | New exempt reporting adviser | Amsterdam | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-15 | OCEANS EQUITY CRD 344988 · 802-137726 | New exempt reporting adviser | Miami, FL | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-15 | CLAY POINT INVESTORS CRD 339911 · 802-137719 | New exempt reporting adviser | Hobe Sound, FL | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-15 | BREGAL MILESTONE LLP CRD 342253 · 802-137729 | New exempt reporting adviser | London | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-15 | KESHERCIRCLEFUND LLC CRD 344726 · 802-137721 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 46 | 2026-10-15 | GUDO PARTNERS LLC CRD 317932 · 802-137725 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-10-15 | JOHNSON RANDALL CRD 344752 | New state-registered adviser | Salt Lake City, UT | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-15 | CLAY POINT INVESTORS CRD 339911 · 802-137719 | New state-registered adviser | Hobe Sound, FL | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-15 | OCEANS EQUITY CRD 344988 · 802-137726 | New state-registered adviser | Miami, FL | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-15 | PHARMSTARS VENTURES LLC CRD 344653 | New state-registered adviser | Newton, MA | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-15 | ZP MANAGEMENT LLC CRD 342365 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-15 | MONDOR FINANCIAL PLANNING LLC CRD 344165 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 32 | 2026-10-15 | RIVERFRONT WEALTH MANAGEMENT CRD 344062 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 81 | 2026-10-16 | SIGNALRANK AI CORP CRD 343905 · 801-137554 | New SEC adviser (120-day rule) | — | 4 | $31M | 120-day rule (must reach $100M RAUM)Advises private fundsHas custody | subscribers | IAPD |
| 79 | 2026-10-16 | NEW PARADIGM CAPITAL MANAGEMENT, LLC CRD 344464 · 801-137534 | New SEC-registered adviser | Great Falls, VA | 5 | $167M | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 65 | 2026-10-16 | FOUR PILLARS FINANCIAL PLANNING GROUP, LLC CRD 343979 · 801-137547 | New SEC adviser (120-day rule) | Nokomis, FL | 9 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 65 | 2026-10-16 | STEWART ADVISORY SERVICES, INC. CRD 344426 · 801-137545 | New SEC adviser (120-day rule) | Elmira, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetHas custody | subscribers | IAPD |
| 65 | 2026-10-16 | TENGROVE LLC CRD 344503 · 801-137546 | New SEC adviser (120-day rule) | New York, NY | 2 | — | 120-day rule (must reach $100M RAUM) | 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.