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 6 of 13
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 49 | 2026-10-06 | CROWN LAKE CAPITAL, LLC CRD 344748 · 802-137666 | New exempt reporting adviser | Northbrook, IL | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-06 | DEEP OCEAN CAPITAL MANAGEMENT LP CRD 344685 · 802-137664 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-06 | PRUDENT INVESTMENT MANAGERS LLP CRD 342747 · 802-137667 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-06 | DARKRIVER MANAGEMENT LLC CRD 343975 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-06 | FIVE CROWNS CREDIT ADVISORS LLC CRD 344763 | New state-registered adviser | Henderson, NV | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-06 | WILLIAM JAMES INVESTMENT ADVISORS, LLC CRD 343661 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-06 | SAVAGE WEALTH ADVISORS CRD 343509 | New state-registered adviser | — | 1 | — | Has custody | subscribers | IAPD |
| 35 | 2026-10-06 | SIAHKAMARI CAPITAL CRD 343324 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-06 | WOLF FINANCIAL MANAGEMENT CRD 343743 | New state-registered adviser | Torrance, CA | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-06 | LEMNISCATE PARTNERS ADVISORY LLC CRD 343029 | New state-registered adviser | Menlo Park, CA | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-06 | MASSARI ASSET MANAGEMENT LLC CRD 343736 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custodyPerformance fees | subscribers | IAPD |
| 35 | 2026-10-06 | RALSTON ADVISORS CRD 343780 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-06 | W1 WEALTH LLC CRD 327293 | New state-registered adviser | — | 2 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-06 | HIGHLINE FINANCIAL LLC CRD 342357 | New state-registered adviser | — | 0 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-06 | BAXTER CAPITAL GROUP CRD 340852 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | 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 |
| 75 | 2026-10-05 | LATIGO PEAK PARTNERS, LLC CRD 344428 · 801-137451 | New SEC adviser (120-day rule) | Palm Beach Gardens, FL | 10 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees+1 | 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 | |
| 49 | 2026-10-05 | FLUX CAPITAL FUND MANAGEMENT LLC CRD 344896 · 802-137659 | New exempt reporting adviser | Los Angeles, CA | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 43 | 2026-10-05 | FLUX CAPITAL FUND MANAGEMENT LLC CRD 344896 · 802-137659 | New state-registered adviser | Los Angeles, CA | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-10-05 | SHARIAWIZ ADVISORY CRD 342423 | New state-registered adviser | Folsom, CA | 6 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 35 | 2026-10-05 | PINK STREETS FINANCIAL PLANNING, LLC CRD 344485 | New state-registered adviser | St. Petersburg, FL | 2 | — | subscribers | IAPD | |
| 35 | 2026-10-05 | BETTER PLANNING BETTER LIFE INC. CRD 343636 | New state-registered adviser | Seal Beach, CA | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-05 | CCS FIDUCIARY GOVERNANCE CONSULTING GROUP, LLC CRD 343500 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 32 | 2026-10-05 | THROUGHLINE FINANCIAL PLANNING CRD 343344 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-05 | TAXWISE WEALTH PLANNING LLC CRD 342739 | New state-registered adviser | Farmington, UT | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 35 | 2026-10-04 | AUTUMN LANE ADVISORY LLC CRD 342348 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 49 | 2026-10-03 | OUTLIERS INVESTMENT ADVISORY LIMITED CRD 344168 · 802-137657 | New exempt reporting adviser | Taipei, Taiwan | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 43 | 2026-10-03 | OUTLIERS INVESTMENT ADVISORY LIMITED CRD 344168 · 802-137657 | New state-registered adviser | Taipei, Taiwan | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-03 | FALCON CREEK CAPITAL ADVISOR, LLC CRD 332669 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | 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 | |
| 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 |
| 65 | 2026-10-02 | ASK FREDD CRD 344234 · 801-137417 | New SEC adviser (120-day rule) | Los Angeles, CA | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetPerformance fees | subscribers | IAPD |
| 65 | 2026-10-02 | ALTUS WEALTH MANAGEMENT, LLC. CRD 344313 · 801-137419 | New SEC adviser (120-day rule) | Albuquerque, NM | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-02 | INTEGRATED ADVISORS WEALTH MANAGEMENT LLC CRD 342662 · 801-137436 | New SEC adviser (120-day rule) | Sacramento, CA | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed+1 | subscribers | IAPD |
| 62 | 2026-10-02 | 18.32 NORTH, LLC CRD 342764 · 801-137413 | New SEC adviser (120-day rule) | Charlotte Amalie, VI | 3 | — | 120-day rule (must reach $100M RAUM)No website listedHas custody | subscribers | IAPD |
| 49 | 2026-10-02 | HOLMES FINANCIAL MANAGEMENT CO., LLC CRD 344635 · 802-137656 | New exempt reporting adviser | Houston, TX | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-02 | PERIGON CRD 344829 · 802-137650 | New exempt reporting adviser | Miami, FL | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-02 | PERIGON CRD 344829 · 802-137650 | New state-registered adviser | Miami, FL | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-10-02 | WHITEHALL ROW ADVISORY, LLC CRD 342270 | New state-registered adviser | — | 1 | — | subscribers | IAPD | |
| 35 | 2026-10-02 | NORTH WIND AND SUN ADVISORY LLC CRD 344706 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-02 | GBS INVESTMENTS CRD 344535 | New state-registered adviser | Marion, IN | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-02 | CHAMBERLAIN LONG WEALTH MANAGEMENT, LLC CRD 340792 | New state-registered adviser | Alpine, UT | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-02 | VITESSE ONE WEALTH LLC CRD 343089 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-02 | AUTUMN BRANCH CAPITAL, LLC CRD 343751 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-02 | TURTLE WEALTH CRD 343756 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 87 | 2026-10-01 | COEFFICIENT CAPITAL CRD 299097 · 801-137422 | New SEC-registered adviser | New York, NY | 10 | $735M | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 76 | 2026-10-01 | HILCO INVESTMENT ADVISORS, LLC CRD 300222 · 801-137203 | New SEC-registered adviser | Northbrook, IL | 160 | $313M | Broker-dealer affiliate10+ employeesNo website listed+1 | subscribers | IAPD |
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