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
90 registrations effective in the last 45 days matching your filters · page 1 of 2
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 76 | 2026-09-10 | BURLINGAME WEALTH MANAGEMENT, LLC CRD 300041 · 801-137010 | New SEC-registered adviser | Burlingame, CA | 1 | $129M | Advises private funds | subscribers | IAPD |
| 75 | 2026-09-10 | BLUE ANCHOR WEALTH ADVISORS, LLC CRD 307522 · 801-136806 | New SEC-registered adviser | Ketchikan, AK | 6 | $144M | Has custodyNotice-filed in 5+ states | subscribers | IAPD |
| 71 | 2026-09-11 | INTEGRATED WEALTH SOLUTIONS, LLC CRD 334422 · 801-137270 | New SEC-registered adviser | York, PA | 8 | $114M | subscribers | IAPD | |
| 68 | 2026-09-11 | BETTER FINANCIAL SERVICES, LLC CRD 329520 · 801-137261 | New SEC-registered adviser | Federal Way, WA | 2 | $111M | Has custody | subscribers | IAPD |
| 63 | 2026-09-11 | PTS BROKERAGE, LLC CRD 119307 · 801-136814 | New SEC-registered adviser | Mt. Laurel, NJ | 18 | $132M | 10+ employeesHas custodyDisciplinary disclosure+1 | subscribers | IAPD |
| 60 | 2026-09-11 | CAMERATA CAPITAL CRD 343111 · 801-137204 | New SEC-registered adviser | Chicago, IL | 2 | $0 | No RAUM yetBroker-dealer affiliateNo website listed+1 | subscribers | IAPD |
| 53 | 2026-09-11 | HERNDON PLANT OAKLEY LTD CRD 44971 · 801-137003 | New SEC-registered adviser | Corpus Christi, TX | 3 | $155M | Disciplinary disclosure | subscribers | IAPD |
| 71 | 2026-09-14 | ENDEAVOR ADVISORS LLC CRD 309563 · 801-137294 | New SEC-registered adviser | Phoenix, AZ | 4 | $114M | 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 |
| 73 | 2026-09-15 | CARLO CAPITAL CRD 331801 · 801-137192 | New SEC-registered adviser | — | 1 | $100M | Advises private fundsNo website listed | subscribers | IAPD |
| 71 | 2026-09-15 | WEALTH STRATEGIES GROUP CRD 326407 · 801-137269 | New SEC-registered adviser | Newport Beach, CA | 6 | $103M | Performance fees | subscribers | IAPD |
| 71 | 2026-09-15 | CS TOMASI WEALTH MANAGEMENT CRD 287561 · 801-137293 | New SEC-registered adviser | Costa Mesa, CA | 6 | $110M | subscribers | IAPD | |
| 64 | 2026-09-15 | MFO HEALTHCARE PARTNERS CRD 343613 · 801-137301 | New SEC-registered adviser | Boca Raton, FL | 10 | — | 10+ employeesPerformance fees | subscribers | IAPD |
| 55 | 2026-09-15 | ZOOP ALPHA ADVISORS CRD 343280 · 801-137254 | New SEC-registered adviser | Mesa, AZ | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 68 | 2026-09-16 | LEONARD ADVISORY GROUP LLC CRD 321165 · 801-137191 | New SEC-registered adviser | Saint Joseph, MI | 3 | $114M | subscribers | IAPD | |
| 68 | 2026-09-16 | WEALTHLYNK, INC. CRD 327527 · 801-137244 | New SEC-registered adviser | Fallbrook, CA | 1 | $112M | subscribers | IAPD | |
| 65 | 2026-09-16 | TRAVER FINANCIAL CONSULTING NETWORK PA CRD 139459 · 801-137309 | New SEC-registered adviser | Lakewood Ranch, FL | 2 | $122M | No website listedHas custody | subscribers | IAPD |
| 68 | 2026-09-17 | CRAFTED FINANCE, LLC CRD 283318 · 801-137319 | New SEC-registered adviser | — | 2 | $103M | subscribers | IAPD | |
| 64 | 2026-09-17 | ULLMAN INVESTMENT COUNSEL LLC CRD 342915 · 801-137337 | New SEC-registered adviser | Toronto, Ontario | 10 | $0 | No RAUM yet10+ employees | subscribers | IAPD |
| 61 | 2026-09-17 | WILLIS TOWERS WATSON SECURITIES, LLC CRD 317602 · 801-137326 | New SEC-registered adviser | Chicago, IL | 5 | $0 | No RAUM yet | subscribers | IAPD |
| 58 | 2026-09-17 | AWEALTH INTERNATIONAL AG CRD 343883 · 801-137252 | New SEC-registered adviser | Zollikon, Zh | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 55 | 2026-09-17 | MILEMARKER INVESTMENT SOLUTIONS, LLC CRD 343499 · 801-137330 | New SEC-registered adviser | Lincoln, NE | 3 | — | No website listed | subscribers | IAPD |
| 87 | 2026-09-21 | SAGEONE INVESTMENT MANAGERS LLP CRD 285454 · 801-137355 | New SEC-registered adviser | Pune | 21 | $691M | Advises private funds10+ employeesPerformance fees | subscribers | IAPD |
| 71 | 2026-09-21 | TIDMORE RETIREMENT PLANNING SPECIALISTS CRD 121028 · 801-137002 | New SEC-registered adviser | Beachwood, OH | 4 | $113M | subscribers | IAPD | |
| 65 | 2026-09-21 | ZERO LABS INC. CRD 343612 · 801-137359 | New SEC-registered adviser | San Francisco, CA | 4 | $100K | Notice-filed in 5+ states | subscribers | IAPD |
| 58 | 2026-09-21 | PORTFOLIO ADVISORY PARTNERS CRD 336215 · 801-135332 | New SEC-registered adviser | North Brunswick, NJ | 1 | — | subscribers | IAPD | |
| 68 | 2026-09-22 | CROSSPOINT CAPITAL MANAGEMENT CRD 150212 · 801-137291 | New SEC-registered adviser | Orinda, CA | 2 | $117M | subscribers | IAPD | |
| 63 | 2026-09-22 | BLUEROCK ETF ADVISOR, LLC CRD 344162 · 801-137333 | New SEC-registered adviser | New York, NY | 5 | — | Broker-dealer affiliateNo website listed | subscribers | IAPD |
| 68 | 2026-09-23 | KNECHT CAPITAL MANAGEMENT, LLC CRD 319100 · 801-137190 | New SEC-registered adviser | — | 1 | $116M | Has custody | subscribers | IAPD |
| 67 | 2026-09-23 | ARK CAPITAL INVESTMENTS LLC CRD 343735 · 801-137360 | New SEC-registered adviser | St Petersburg, FL | 5 | — | Broker-dealer affiliateNo website listedNotice-filed in 5+ states+1 | subscribers | IAPD |
| 56 | 2026-09-24 | DIVERSIFIED WEALTH ADVISORS, LLC CRD 311903 · 801-137374 | New SEC-registered adviser | Kansas City, MO | 5 | $138M | Disciplinary disclosure | subscribers | IAPD |
| 87 | 2026-09-25 | COLLABORATIVE FUND MANAGEMENT LLC CRD 167366 · 801-137384 | New SEC-registered adviser | New York, NY | 30 | $1.8B | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 65 | 2026-09-25 | ASK CAPITAL INVESTMENT MANAGERS CRD 287711 · 801-137369 | New SEC-registered adviser | Amarillo, TX | 2 | $110M | No website listed | subscribers | IAPD |
| 58 | 2026-09-25 | ARCTOS CAPITAL PARTNERS AG CRD 342745 · 801-137392 | New SEC-registered adviser | Zurich | 3 | $0 | No RAUM yet | subscribers | IAPD |
| 68 | 2026-09-28 | JOHNSTON INVESTMENT COUNSEL, LTD. CRD 109726 · 801-136986 | New SEC-registered adviser | Peoria, IL | 2 | $125M | 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 |
| 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 |
| 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 |
| 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 | 2026-10-02 | 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 |
| 68 | 2026-10-02 | DUKE AND DUKE WEALTH MANAGEMENT LLC CRD 290184 · 801-137423 | New SEC-registered adviser | Doylestown, PA | 3 | $102M | 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 |
| 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 | |
| 73 | 2026-10-06 | ORION GLOBAL ADVISORS US INC CRD 342436 · 801-136536 | New SEC-registered adviser | Las Vegas, NV | 1 | $147M | Advises private fundsNo website listed | subscribers | IAPD |
| 68 | 2026-10-06 | PICCOLO INVESTMENT CONSULTING, LLC CRD 170272 · 801-137372 | New SEC-registered adviser | Denton, TX | 2 | $110M | Has custody | subscribers | IAPD |
| 68 | 2026-10-06 | 30-40 WEALTH PARTNERS CRD 311073 · 801-137428 | New SEC-registered adviser | — | 3 | $107M | subscribers | IAPD | |
| 68 | 2026-10-07 | 4-C PERSONAL WEALTH MANAGEMENT CONSULTANTS, LLC CRD 150201 · 801-137433 | New SEC-registered adviser | Creve Coeur, MO | 3 | $109M | subscribers | IAPD |
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