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 4 of 13
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 43 | 2026-10-15 | OCEANS EQUITY CRD 344988 · 802-137726 | New state-registered adviser | Miami, FL | — | — | 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 |
| 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 | QCORE FUND MANAGEMENT AG CRD 339570 · 802-137715 | New exempt reporting adviser | Zurich | — | — | 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 | FALCON INVESTMENT MANAGEMENT CRD 332604 · 802-137711 | New exempt reporting adviser | London | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-14 | INOVIA CAPITAL CRD 340267 · 802-137718 | New exempt reporting adviser | Montreal, Quebec | — | — | 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 | ESCARPMENT FINANCIAL GROUP, LLC CRD 343281 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-14 | ORENTA CAPITAL CRD 342838 | New state-registered adviser | Rockford, IL | 2 | $0 | No RAUM yet | 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 | STEWARDED, LLC CRD 340739 | New state-registered adviser | Southlake, TX | 1 | $0 | No RAUM yetNo website listed | 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 | 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 |
| 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 |
| 68 | 2026-10-13 | MATTHEW JAMES TAX & WEALTH MANAGEMENT L.L.C. CRD 344272 · 801-137493 | New SEC adviser (120-day rule) | Lafayette, LA | 7 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 68 | 2026-10-13 | YELLOWWOOD WEALTH SOLUTIONS, LLC CRD 344334 · 801-137498 | New SEC adviser (120-day rule) | Charlotte, NC | 7 | $0 | 120-day rule (must reach $100M RAUM)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 | |
| 61 | 2026-10-13 | ALTRUNOVA CRD 343393 · 801-137280 | New SEC-registered adviser | Chicago, IL | 5 | $0 | No RAUM yet | subscribers | IAPD |
| 49 | 2026-10-13 | 404 ENDEAVORS WIZARD INVEST MANAGER, INC. CRD 344848 · 802-137705 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-13 | ENCORE UGP LLC CRD 344999 · 802-137704 | New exempt reporting adviser | Clayton, MO | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-13 | BIG RED HOUSE MANAGEMENT CRD 344416 · 802-137706 | New exempt reporting adviser | Mount Pleasant, SC | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 43 | 2026-10-13 | TERTON CAPITAL MANAGEMENT, LLC CRD 343748 | New state-registered adviser | Irvine, CA | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-13 | FELIX GLOBAL INVESTMENT MANAGEMENT LLC CRD 343587 | New state-registered adviser | Denver, CO | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-13 | NUVION VENTURES LLC CRD 344925 | New state-registered adviser | Seattle, WA | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-10-13 | PNW PROSPERITY & WEALTH MANAGEMENT CRD 342722 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 35 | 2026-10-13 | FIVE TALENT FINANCIAL LLC CRD 343569 | New state-registered adviser | Murray, KY | 2 | $0 | No RAUM yetPerformance fees | 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 | OCEAN IVY CAPITAL CRD 342276 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-13 | ROYAL WEALTH MANAGEMENT LLC CRD 344283 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 49 | 2026-10-12 | JELLOLA INVESTMENTS PTE. LTD. CRD 344665 · 802-137702 | New exempt reporting adviser | Singapore | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-12 | TENUCIA PARTNERS LIMITED CRD 343003 · 802-137699 | New exempt reporting adviser | Hong Kong | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-10-12 | DECORUS IMPERIUM CRD 345016 | New state-registered adviser | Pompano Beach, FL | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-12 | FOURTH PICK MANAGEMENT COMPANY, LLC CRD 344421 | New state-registered adviser | Burbank, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 32 | 2026-10-12 | STEEL TOE WEALTH CRD 344216 | New state-registered adviser | Okemos, MI | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 46 | 2026-10-11 | ONE AXBRIDGE GLOBAL LLC CRD 344869 · 802-137696 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-10-11 | TWE POLYMARKET MGR, LLC CRD 344846 · 802-137698 | New exempt reporting adviser | Houston, TX | — | — | Advises private fundsNo website listed | 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 | |
| 54 | 2026-10-09 | LGT CAPITAL PARTNERS (UK) CRD 342450 · 802-137681 | New exempt reporting adviser | London, Greater London | — | — | Advises private fundsBroker-dealer affiliate | subscribers | IAPD |
| 49 | 2026-10-09 | AZURIA CAPITAL CRD 344330 · 802-137682 | New exempt reporting adviser | Denver, CO | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-09 | INTERVIA PARTNERS, LLC CRD 344960 · 802-137685 | New exempt reporting adviser | San Jose, CA | — | — | Advises private fundsVenture capital adviser | 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.