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 · 141New SEC-registered adviser · 90New SEC adviser (120-day rule) · 88New state-registered adviser · 302
90 registrations effective in the last 45 days matching your filters · page 1 of 2
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 87 | 2026-10-23 | ALPHA EDISON MANAGEMENT COMPANY, LLC CRD 284514 · 801-137320 | New SEC-registered adviser | Los Angeles, CA | 10 | $738M | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 74 | 2026-10-23 | COOLABAH CAPITAL INVESTMENTS (USA) INC CRD 336841 · 801-137510 | New SEC-registered adviser | Miami, FL | 6 | $65M | Advises private fundsPerformance fees | subscribers | IAPD |
| 71 | 2026-10-23 | BRIGHTHAVEN FINANCIAL ADVISORS CRD 318730 · 801-137594 | New SEC-registered adviser | Huntsville, AL | 4 | $107M | subscribers | IAPD | |
| 66 | 2026-10-23 | GK PRIVATE INVESTMENT LLC CRD 342106 · 801-137589 | New SEC-registered adviser | Santa Monica, CA | 1 | $11M | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 63 | 2026-10-23 | REGENCY FINANCIAL GROUP CRD 139892 · 801-137504 | New SEC-registered adviser | — | 1 | $35M | subscribers | IAPD | |
| 61 | 2026-10-23 | AYRES CAPITAL MANAGEMENT LLC CRD 344705 · 801-137570 | New SEC-registered adviser | London, Greater London | 5 | — | Performance fees | subscribers | IAPD |
| 58 | 2026-10-23 | IHSAN WEALTH CRD 341909 · 801-137591 | New SEC-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 58 | 2026-10-23 | ATRIUS AI, INC. CRD 344563 · 801-137577 | New SEC-registered adviser | — | 1 | $0 | No RAUM yet | 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 | PRESIDIO GROUP ADVISORS CRD 344581 · 801-137565 | New SEC-registered adviser | Walnut Creek, CA | 4 | $439M | 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 |
| 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 |
| 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 |
| 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 | |
| 58 | 2026-10-20 | ADONEX AMERICA CRD 344643 · 801-137557 | New SEC-registered adviser | Taipei | 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 | |
| 58 | 2026-10-19 | BUILDSAINTS CRD 344466 · 801-137444 | New SEC-registered adviser | New York, NY | 1 | $0 | 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 |
| 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 |
| 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 |
| 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 | BAY POINT FINANCIAL, LLC CRD 153017 · 801-137136 | New SEC-registered adviser | Bedford, NH | 1 | $105M | 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 |
| 68 | 2026-10-14 | HEYMAN WEALTH MANAGEMENT, LLC CRD 154971 · 801-137494 | New SEC-registered adviser | Encino, CA | 2 | $115M | 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 |
| 82 | 2026-10-13 | ACCIAL CAPITAL MANAGEMENT LLC CRD 305587 · 801-136883 | New SEC-registered adviser | Miami, FL | 21 | $164M | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 61 | 2026-10-13 | ALTRUNOVA CRD 343393 · 801-137280 | New SEC-registered adviser | Chicago, IL | 5 | $0 | No RAUM yet | subscribers | IAPD |
| 61 | 2026-10-13 | MONT AI CRD 340142 · 801-137503 | New SEC-registered adviser | Seattle, WA | 4 | $32K | subscribers | IAPD | |
| 75 | 2026-10-09 | ON POINT CRNA CRD 312142 · 801-137474 | New SEC-registered adviser | — | 4 | $100M | Notice-filed in 5+ states | subscribers | IAPD |
| 68 | 2026-10-09 | BRADY INVESTMENT COUNSEL LLC CRD 128814 · 801-137501 | New SEC-registered adviser | — | 1 | $113M | subscribers | IAPD | |
| 81 | 2026-10-08 | PURPOSE CAPITAL MANAGEMENT, LLC CRD 343181 · 801-137211 | New SEC-registered adviser | Dallas, TX | 6 | $2B | Has custodyPerformance fees | subscribers | IAPD |
| 73 | 2026-10-08 | MLG ADVISORS LLC CRD 340583 · 801-137470 | New SEC-registered adviser | — | 1 | $161M | Advises private fundsNo website listedHas custody+1 | subscribers | IAPD |
| 68 | 2026-10-07 | 4-C PERSONAL WEALTH MANAGEMENT CONSULTANTS, LLC CRD 150201 · 801-137433 | New SEC-registered adviser | Creve Coeur, MO | 3 | $109M | subscribers | IAPD | |
| 73 | 2026-10-06 | ORION GLOBAL ADVISORS US INC CRD 342436 · 801-136536 | New SEC-registered adviser | Las Vegas, NV | 1 | $147M | Advises private fundsNo website listed | subscribers | IAPD |
| 68 | 2026-10-06 | PICCOLO INVESTMENT CONSULTING, LLC CRD 170272 · 801-137372 | New SEC-registered adviser | Denton, TX | 2 | $110M | Has custody | subscribers | IAPD |
| 68 | 2026-10-06 | 30-40 WEALTH PARTNERS CRD 311073 · 801-137428 | New SEC-registered adviser | — | 3 | $107M | subscribers | IAPD | |
| 81 | 2026-10-05 | TRACE CAPITAL CRD 343579 · 801-137441 | New SEC-registered adviser | Los Angeles, CA | 5 | $1.1B | Advises private fundsNo website listedHas custody+1 | subscribers | IAPD |
| 78 | 2026-10-05 | RPC WEALTH, LLC CRD 221532 · 801-137435 | New SEC-registered adviser | Loveland, CO | 14 | $106M | 10+ employeesNotice-filed in 5+ states | subscribers | IAPD |
| 71 | 2026-10-05 | DUELL FINANCIAL STRATEGIES CRD 140283 · 801-137439 | New SEC-registered adviser | Appleton, WI | 4 | $319M | subscribers | IAPD | |
| 68 | 2026-10-05 | LINDEN WEALTH MANAGEMENT LLC CRD 281995 · 801-137432 | New SEC-registered adviser | Oak Park, IL | 1 | $192M | subscribers | IAPD | |
| 68 | 2026-10-02 | INNOVATIVE CAPITAL MANAGEMENT CRD 130446 · 801-137430 | New SEC-registered adviser | Newport Beach, CA | 1 | $44M | Advises private fundsNo website listedHas custody+1 | subscribers | IAPD |
| 68 | 2026-10-02 | DUKE AND DUKE WEALTH MANAGEMENT LLC CRD 290184 · 801-137423 | New SEC-registered adviser | Doylestown, PA | 3 | $102M | subscribers | IAPD |
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