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
621 registrations effective in the last 45 days · page 3 of 13
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 43 | 2026-10-17 | COLIBRI CAPITAL CRD 344952 | New state-registered adviser | Nashville, TN | — | — | Advises private funds | 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 | 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 |
| 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 |
| 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 |
| 49 | 2026-10-16 | COATES, ROBERT CAINON CRD 340237 · 802-137740 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | TROOP CAPITAL MANAGEMENT CRD 315588 · 802-137734 | New exempt reporting adviser | Dallas, TX | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | ASTER CAPITAL MANAGEMENT (DIFC) LTD CRD 344927 · 802-137730 | New exempt reporting adviser | Dubai | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | DUNE VENTURES MANAGEMENT, LP CRD 337853 · 802-137732 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-10-16 | PEARL STREET CAPITAL PARTNERS CRD 340491 · 802-137733 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-16 | THOMPSON MERIDIAN ADVISORS CRD 343162 · 802-137741 | New exempt reporting adviser | Austin, TX | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | COATES, ROBERT CAINON CRD 340237 · 802-137740 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | FUTURE LABS CAPITAL, LLC CRD 332041 | New state-registered adviser | Jeffersonville, IN | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | FUTURE LABS CAPITAL II, LLC CRD 344596 | New state-registered adviser | Jeffersonville, IN | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-16 | ESFERA INVESTMENT GROUP CRD 345035 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-16 | PARADISE CAPITAL MANAGEMENT LLC CRD 344483 | New state-registered adviser | San Juan, PR | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-16 | TELOS FINANCIAL SERVICES, LLC CRD 343777 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | CPA TEACHES LLC CRD 344201 | New state-registered adviser | Towson, MD | 1 | — | subscribers | IAPD | |
| 35 | 2026-10-16 | AMICUS ADVISORS LLC CRD 339097 | New state-registered adviser | Vienna, VA | 1 | $0 | No RAUM yetPerformance fees | subscribers | IAPD |
| 35 | 2026-10-16 | CLIFFORD ALAN INC. CRD 344225 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | LEONARD WEALTH SOLUTIONS LLC CRD 339723 | New state-registered adviser | Mount Laurel, NJ | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-16 | OPG ASSET MANAGEMENT CRD 344658 | New state-registered adviser | Bethesda, MD | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-16 | BROOKSIDE WEALTH MANAGEMENT LLC CRD 344343 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | VIOLET CROWN WEALTH ADVISORS LLC CRD 343877 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | ECLIPSE WEALTH MANAGEMENT CRD 343453 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-16 | PENNLITON MANAGEMENT LLC CRD 342895 | 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 | BAY POINT FINANCIAL, LLC CRD 153017 · 801-137136 | New SEC-registered adviser | Bedford, NH | 1 | $105M | 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 |
| 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 |
| 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 |
| 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 | CLAY POINT INVESTORS CRD 339911 · 802-137719 | New exempt reporting adviser | Hobe Sound, FL | — | — | 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 | BREGAL MILESTONE LLP CRD 342253 · 802-137729 | New exempt reporting adviser | London | — | — | Advises private funds | 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 |
| 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 | PHARMSTARS VENTURES LLC CRD 344653 | New state-registered adviser | Newton, MA | — | — | 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 |
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