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 12 of 12
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 32 | 2026-09-15 | DUNCAN, MATTHEW WILLIAM CRD 344083 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 71 | 2026-09-14 | FATHOM ADVISORS LLC CRD 343731 · 801-137182 | New SEC adviser (120-day rule) | Minneapolis, MN | 22 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 71 | 2026-09-14 | ROUND TABLE ADVISORS, LLC CRD 343859 · 801-137306 | New SEC adviser (120-day rule) | Chattanooga, TN | 13 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 71 | 2026-09-14 | ENDEAVOR ADVISORS LLC CRD 309563 · 801-137294 | New SEC-registered adviser | Phoenix, AZ | 4 | $114M | subscribers | IAPD | |
| 65 | 2026-09-14 | VESSEL WEALTH PARTNERS CRD 343180 · 801-137298 | New SEC adviser (120-day rule) | Mendota Heights, MN | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-14 | LR3 PARTNERS CRD 344089 · 801-137304 | New SEC adviser (120-day rule) | Conshohocken, PA | 3 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 62 | 2026-09-14 | NOVERA WEALTH, INC. CRD 343978 · 801-137307 | New SEC adviser (120-day rule) | New York, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-09-14 | DAN THORNSBERRY CAPITAL ADVISORS, LLC CRD 343946 · 801-137287 | New SEC adviser (120-day rule) | Belleair Beach, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 58 | 2026-09-14 | VAN SOLDAT WEALTH LLC CRD 343130 · 801-137290 | New SEC-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 51 | 2026-09-14 | ABG & CO INVESTMENT MANAGEMENT LLC CRD 341763 · 802-137511 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed+1 | subscribers | IAPD |
| 49 | 2026-09-14 | LOWERCASE CAPITAL MANAGEMENT, LLC CRD 341793 · 802-137522 | New exempt reporting adviser | Los Angeles, CA | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-14 | ENGLISH RIVER LLC CRD 342605 · 802-137512 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-14 | CRITICAL SERVICES GROUP MANAGEMENT, LP CRD 343878 · 802-137520 | New exempt reporting adviser | Boston, MA | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-09-14 | AUROCHS CAPITAL FUND CRD 340972 · 802-137508 | New exempt reporting adviser | Sparta, NJ | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-14 | INOCA MANAGEMENT, LLC CRD 344519 · 802-137515 | New exempt reporting adviser | Park City, UT | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-14 | CAVENDISH CAPITAL PARTNERS LLC CRD 344562 · 802-137507 | New exempt reporting adviser | Wilmington, DE | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-14 | GRATIA CAPITAL, LLC CRD 163876 · 802-137518 | New exempt reporting adviser | Los Angeles, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-14 | EMBERSTONE CAPITAL INC. CRD 344508 · 802-137509 | New exempt reporting adviser | Albany, NY | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-14 | BACK NINE PARTNERS, LP CRD 339216 · 802-137521 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-09-14 | LOWERCASE CAPITAL MANAGEMENT, LLC CRD 341793 · 802-137522 | New state-registered adviser | Los Angeles, CA | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-14 | CRITICAL SERVICES GROUP MANAGEMENT, LP CRD 343878 · 802-137520 | New state-registered adviser | Boston, MA | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-09-14 | INOCA MANAGEMENT, LLC CRD 344519 · 802-137515 | New state-registered adviser | Park City, UT | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 32 | 2026-09-14 | INTEGRITY INVESTING CRD 340276 | New state-registered adviser | Happy Valley, OR | 1 | — | No website listed | subscribers | IAPD |
| 32 | 2026-09-14 | BLUENOSE WEALTH LLC CRD 342866 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 20 | 2026-09-12 | LTPLANNERS CRD 343517 | New state-registered adviser | Virginia Beach, VA | 2 | $0 | No RAUM yetDisciplinary disclosure | subscribers | IAPD |
Free weekly sample: five scored new adviser registrations every Monday
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