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 11 of 12
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 70 | 2026-09-17 | KYNANCE COVE CAPITAL LLC CRD 343050 · 801-136673 | New SEC adviser (120-day rule) | London | 2 | — | 120-day rule (must reach $100M RAUM)Advises private fundsNo website listed+1 | subscribers | IAPD |
| 68 | 2026-09-17 | CRAFTED FINANCE, LLC CRD 283318 · 801-137319 | New SEC-registered adviser | — | 2 | $103M | subscribers | IAPD | |
| 68 | 2026-09-17 | SOMERSET ADVISORY, LLC CRD 343852 · 801-137353 | New SEC adviser (120-day rule) | Birmingham, AL | 6 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 64 | 2026-09-17 | ULLMAN INVESTMENT COUNSEL LLC CRD 342915 · 801-137337 | New SEC-registered adviser | Toronto, Ontario | 10 | $0 | No RAUM yet10+ employees | subscribers | IAPD |
| 62 | 2026-09-17 | STELVIO PRIVATE WEALTH CRD 343939 · 801-137327 | New SEC adviser (120-day rule) | Greenwich, CT | 2 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 61 | 2026-09-17 | WILLIS TOWERS WATSON SECURITIES, LLC CRD 317602 · 801-137326 | New SEC-registered adviser | Chicago, IL | 5 | $0 | No RAUM yet | subscribers | IAPD |
| 58 | 2026-09-17 | AWEALTH INTERNATIONAL AG CRD 343883 · 801-137252 | New SEC-registered adviser | Zollikon, Zh | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 55 | 2026-09-17 | MILEMARKER INVESTMENT SOLUTIONS, LLC CRD 343499 · 801-137330 | New SEC-registered adviser | Lincoln, NE | 3 | — | No website listed | subscribers | IAPD |
| 49 | 2026-09-17 | INCLUSIVE CAPITAL PARTNERS, L.P. CRD 309419 · 802-137544 | New exempt reporting adviser | San Francisco, CA | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-17 | BSF III GP, LLC CRD 342011 · 802-137542 | New exempt reporting adviser | Berkeley, CA | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-17 | MONACO BAY GROUP S.A.M. CRD 344516 · 802-137539 | New exempt reporting adviser | Monaco | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-09-17 | BSF III GP, LLC CRD 342011 · 802-137542 | New state-registered adviser | Berkeley, CA | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-09-17 | SIDE CREEK CAPITAL MANAGEMENT LLC CRD 344616 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-09-17 | LAFAYETTE FINANCIAL PLANNING LLC CRD 341523 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-17 | RUBICON FINANCIAL GROUP, LLC CRD 344258 | New state-registered adviser | Fountain Hills, AZ | 1 | — | subscribers | IAPD | |
| 72 | 2026-09-16 | AI PORTFOLIOS CRD 343923 · 801-137285 | New SEC adviser (120-day rule) | — | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 69 | 2026-09-16 | OPIMA CAPITAL MANAGEMENT, LLC CRD 343836 · 801-137315 | New SEC adviser (120-day rule) | Ocoee, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 68 | 2026-09-16 | LEONARD ADVISORY GROUP LLC CRD 321165 · 801-137191 | New SEC-registered adviser | Saint Joseph, MI | 3 | $114M | subscribers | IAPD | |
| 68 | 2026-09-16 | WEALTHLYNK, INC. CRD 327527 · 801-137244 | New SEC-registered adviser | Fallbrook, CA | 1 | $112M | subscribers | IAPD | |
| 68 | 2026-09-16 | PROFESSIONAL PLANNING & WEALTH CRD 342089 · 801-137303 | New SEC adviser (120-day rule) | Greenville, SC | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-16 | STRATEGENCE CAPITAL LLC CRD 343488 · 801-137317 | New SEC adviser (120-day rule) | Van Wert, OH | 9 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 65 | 2026-09-16 | POINT ONE PRIVATE WEALTH CRD 339679 · 801-137318 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetHas custody | subscribers | IAPD |
| 65 | 2026-09-16 | TRAVER FINANCIAL CONSULTING NETWORK PA CRD 139459 · 801-137309 | New SEC-registered adviser | Lakewood Ranch, FL | 2 | $122M | No website listedHas custody | subscribers | IAPD |
| 65 | 2026-09-16 | INVISCID CRD 343561 · 801-137313 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 62 | 2026-09-16 | AQUIUM LEGACY PARTNERS CRD 343902 · 801-137316 | New SEC adviser (120-day rule) | — | 1 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 49 | 2026-09-16 | STALWART VENTURES MANAGEMENT, LLC CRD 343799 · 802-137536 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-16 | GREEN SANDS GP, LLC CRD 344276 · 802-137535 | New exempt reporting adviser | Dover, DE | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-16 | HARVEST ROYALTY MANAGEMENT CRD 344095 | New state-registered adviser | Houston, TX | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-16 | STALWART VENTURES MANAGEMENT, LLC CRD 343799 · 802-137536 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-16 | PERNAS CAPITAL, LP CRD 344549 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-09-16 | EVERGLADE CAPITAL, LLC CRD 341491 | New state-registered adviser | Frisco, TX | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-16 | SHAY WEALTH PARTNERS CRD 344353 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 35 | 2026-09-16 | BENNINGTON ASSET MANAGEMENT, LLC CRD 342574 | New state-registered adviser | Pittsburgh, PA | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 73 | 2026-09-15 | CARLO CAPITAL CRD 331801 · 801-137192 | New SEC-registered adviser | — | 1 | $100M | Advises private fundsNo website listed | subscribers | IAPD |
| 73 | 2026-09-15 | NPW USA CRD 343603 · 801-137142 | New SEC adviser (120-day rule) | Oakville, Ontario | 5 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate | subscribers | IAPD |
| 71 | 2026-09-15 | CS TOMASI WEALTH MANAGEMENT CRD 287561 · 801-137293 | New SEC-registered adviser | Costa Mesa, CA | 6 | $110M | subscribers | IAPD | |
| 71 | 2026-09-15 | WEALTH STRATEGIES GROUP CRD 326407 · 801-137269 | New SEC-registered adviser | Newport Beach, CA | 6 | $103M | Performance fees | subscribers | IAPD |
| 68 | 2026-09-15 | INTEGRATED MANAGEMENT SYSTEMS CAPITAL MANAGEMENT LLC CRD 343591 · 801-137219 | New SEC adviser (120-day rule) | East Orange, NJ | 4 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 64 | 2026-09-15 | MFO HEALTHCARE PARTNERS CRD 343613 · 801-137301 | New SEC-registered adviser | Boca Raton, FL | 10 | — | 10+ employeesPerformance fees | subscribers | IAPD |
| 55 | 2026-09-15 | ZOOP ALPHA ADVISORS CRD 343280 · 801-137254 | New SEC-registered adviser | Mesa, AZ | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-09-15 | MARE LIBERUM CAPITAL PARTNERS, LLC CRD 343026 · 802-137533 | New exempt reporting adviser | Coral Gables, FL | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-15 | ANDERA PARTNERS CRD 340676 · 802-137523 | New exempt reporting adviser | Paris | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-15 | NETLEY CAPITAL (UK) LIMITED CRD 344574 · 802-137527 | New exempt reporting adviser | London | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-15 | ANTHOS FUND & ASSET MANAGEMENT B.V. CRD 344103 · 802-137524 | New exempt reporting adviser | Amsterdam, Noord-Holland | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-15 | FIFIELD COMPANIES CRD 341857 · 802-137526 | New exempt reporting adviser | Chicago, IL | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-09-15 | MILLSTONE GLOBAL ADVISORS LP CRD 343727 · 802-137529 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-15 | ACT TWO CAPITAL MANAGEMENT LLC CRD 344251 · 802-137532 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-09-15 | APRIL ASSET MANAGEMENT LLC CRD 342362 | New state-registered adviser | Deerfield, IL | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-15 | GROWTH FINANCIAL CRD 342794 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-09-15 | HIGH COUNTRY STEWARDSHIP CRD 344104 | New state-registered adviser | Bozeman, MT | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
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