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 7 of 12
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 71 | 2026-10-01 | PLETTENBERG CAPITAL MANAGEMENT, LLC CRD 342946 · 801-137416 | New SEC-registered adviser | New York, NY | 2 | $51M | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 68 | 2026-10-01 | BROOKSTONE WEALTH MANAGEMENT, INC. CRD 344265 · 801-137415 | New SEC adviser (120-day rule) | Oxford, MA | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-10-01 | NEXTREG ADVISORS LLC CRD 344045 · 801-137406 | New SEC adviser (120-day rule) | Miami, FL | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-10-01 | VOCARE WEALTH ADVISORS CRD 344366 · 801-137426 | New SEC adviser (120-day rule) | Reston, VA | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-10-01 | WELLS CAPITAL ADVISORS LLC CRD 342411 · 801-137414 | New SEC adviser (120-day rule) | Las Vegas, NV | 9 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 62 | 2026-10-01 | EAST FRANKLIN CAPITAL CRD 343891 · 801-137405 | New SEC adviser (120-day rule) | Wilmington, NC | 1 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 56 | 2026-10-01 | EVEROAK WEALTH CO CRD 344190 · 801-137412 | New SEC adviser (120-day rule) | Colorado Springs, CO | 11 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees+1 | subscribers | IAPD |
| 51 | 2026-10-01 | LPS SPV MANAGER, LLC CRD 344577 · 802-137644 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 51 | 2026-10-01 | MEM MANAGER, LLC CRD 344130 · 802-137642 | New exempt reporting adviser | Charlotte, NC | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 49 | 2026-10-01 | DECADES HOLDINGS LP CRD 344417 · 802-137640 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-01 | NEXEPTION CAPITAL CRD 344826 · 802-137648 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-01 | MOUNTAIN V MANAGEMENT, LLC CRD 344809 · 802-137638 | New exempt reporting adviser | Buckhannon, WV | — | — | Advises private funds | subscribers | IAPD |
| 48 | 2026-10-01 | EMETH VALUE CAPITAL, LLC CRD 310696 · 801-131444 | New state-registered adviser | New Orleans, LA | 1 | $57M | Advises private fundsPerformance fees | subscribers | IAPD |
| 43 | 2026-10-01 | NEXEPTION CAPITAL CRD 344826 · 802-137648 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-01 | EXOSCALETON VENTURES, LLC CRD 344384 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-10-01 | SOMERSET HILLS CAPITAL MANAGEMENT, LLC CRD 344576 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-01 | OWN YOUR MONDAY WEALTH MANAGEMENT, LLC CRD 344150 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 35 | 2026-10-01 | L. J. SMITH & CO LLC CRD 341930 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-01 | SFR WEALTH LLC CRD 343870 | New state-registered adviser | Lower Burrell, PA | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-01 | WEALTH INNOVATION GROUP CRD 338077 | New state-registered adviser | Logan, UT | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-10-01 | ONE MILE FINANCIAL PLANNING, LLC CRD 336509 | New state-registered adviser | — | 1 | — | No website listed | subscribers | IAPD |
| 70 | 2026-09-30 | AQR FLEX MANAGEMENT, LLC CRD 342478 · 801-137289 | New SEC-registered adviser | Greenwich, CT | 778 | — | Broker-dealer affiliate10+ employeesNo website listed+2 | subscribers | IAPD |
| 69 | 2026-09-30 | STRIBLING-WHALEN FINANCIAL GROUP CRD 343346 · 801-137279 | New SEC adviser (120-day rule) | Gainesville, GA | 7 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed+1 | subscribers | IAPD |
| 62 | 2026-09-30 | LELAND WEALTH MANAGEMENT CRD 344175 · 801-137396 | New SEC adviser (120-day rule) | — | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-09-30 | ONE ORCHARD LLC CRD 344610 · 802-137625 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-30 | BSCM CRD 342312 · 802-137633 | New exempt reporting adviser | Woodmere, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-30 | GIMPEL PRIVATE MARKETS S.A. CRD 344072 · 802-137622 | New exempt reporting adviser | Luxembourg, Luxembourg | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-30 | WXYZ II, LLC CRD 342237 · 802-137627 | New exempt reporting adviser | Austin, TX | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-30 | NEIL JESANI ASSET MANAGEMENT, LLC CRD 344572 · 802-137623 | New exempt reporting adviser | Sunrise, FL | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-30 | VAILSHIRE CAPITAL MANAGEMENT, LLC CRD 333571 | New state-registered adviser | Colorado Springs, CO | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-30 | NPU VENTURES MANAGEMENT, LLC CRD 344481 | New state-registered adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-09-30 | NEIL JESANI ASSET MANAGEMENT, LLC CRD 344572 · 802-137623 | New state-registered adviser | Sunrise, FL | — | — | Advises private funds | subscribers | IAPD |
| 38 | 2026-09-30 | BROTHERHOOD RETIREMENT CRD 339151 | New state-registered adviser | Colorado Springs, CO | 6 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-30 | SALIO CAPITAL LLC CRD 343806 | New state-registered adviser | Tysons, VA | 1 | — | subscribers | IAPD | |
| 35 | 2026-09-30 | TAXVET CRD 342653 | New state-registered adviser | San Jose, CA | 1 | — | subscribers | IAPD | |
| 35 | 2026-09-30 | WESTPORT ADVISORY CRD 340749 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 35 | 2026-09-30 | GENERA WEALTH CRD 343744 | New state-registered adviser | — | 3 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-09-30 | GREENHOUSE INVESTMENTS LLC CRD 344528 | New state-registered adviser | — | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 32 | 2026-09-30 | LINNHAVN WEALTH ADVISORS LLC CRD 344170 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-09-30 | LAKESHORE PRIVATE OFFICE LLC CRD 343512 | New state-registered adviser | Chicago, IL | 1 | — | No website listed | subscribers | IAPD |
| 78 | 2026-09-29 | LEGACY PARTNERS FINANCIAL GROUP, LLC CRD 137025 · 801-137399 | New SEC-registered adviser | Woodstock, GA | 10 | $108M | 10+ employeesNotice-filed in 5+ states | subscribers | IAPD |
| 68 | 2026-09-29 | LORUM ADVISORY LLC CRD 344055 · 801-137408 | New SEC adviser (120-day rule) | New York, NY | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-09-29 | MANIFOLD INVESTMENT PARTNERS LLC CRD 344005 · 801-137386 | New SEC adviser (120-day rule) | San Francisco, CA | 5 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 68 | 2026-09-29 | CLEARWATER FINANCIAL PLANNING CRD 344096 · 801-137394 | New SEC adviser (120-day rule) | Lewiston, ID | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 49 | 2026-09-29 | LAPRAES GLOBAL MANAGEMENT LLC CRD 344570 · 802-137617 | New exempt reporting adviser | — | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-09-29 | SERENDIPITY CAPITAL CRD 344480 · 802-137612 | New exempt reporting adviser | Singapore | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-29 | SERENDIPITY CAPITAL CRD 344518 · 802-137613 | New exempt reporting adviser | Cambridge, MA | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-29 | MEGAPRO CORPORATION CRD 331099 | New state-registered adviser | St. Louis, MO | 4 | $2 | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 46 | 2026-09-29 | SHAKER SQUARE ADVISORS, LLC CRD 344743 · 802-137621 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-09-29 | CHANNEL FOOTBALL GROUP, LLC CRD 343683 · 802-137620 | New exempt reporting adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
Free weekly sample: five scored new adviser registrations every Monday
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