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 · 146New SEC-registered adviser · 94New SEC adviser (120-day rule) · 94New state-registered adviser · 312
94 registrations effective in the last 45 days matching your filters · page 1 of 2
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 71 | 2026-09-09 | ALIGNED WEALTH ADVISORS, LLC CRD 343143 · 801-137229 | New SEC adviser (120-day rule) | Miami, FL | 15 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 68 | 2026-09-09 | CREATED WEALTH ADVISORY CRD 343953 · 801-137243 | New SEC adviser (120-day rule) | Venice, CA | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-09 | HEIRMONT WEALTH MANAGEMENT CRD 344021 · 801-137258 | New SEC adviser (120-day rule) | Uniondale, NY | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 62 | 2026-09-09 | BELLERIVE CAPITAL, LLC CRD 343680 · 801-137225 | New SEC adviser (120-day rule) | — | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-09-09 | GEIGER GROUP WEALTH MANAGEMENT CRD 343752 · 801-137249 | New SEC adviser (120-day rule) | — | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-09-09 | NEL MEZZO LLC CRD 343911 · 801-137257 | New SEC adviser (120-day rule) | — | 1 | — | 120-day rule (must reach $100M RAUM)No website listedPerformance fees | subscribers | IAPD |
| 75 | 2026-09-10 | RISE PRIVATE WEALTH MANAGEMENT CRD 343846 · 801-137220 | New SEC adviser (120-day rule) | Bedford, NH | 102 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees+1 | subscribers | IAPD |
| 67 | 2026-09-10 | CAMERON SIGNATURE WEALTH ADVISORS LLC CRD 339500 · 801-137072 | New SEC adviser (120-day rule) | Charlotte, NC | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetBroker-dealer affiliate+1 | subscribers | IAPD |
| 62 | 2026-09-10 | MADISON LASALLE ADVISERS LLC CRD 342901 · 801-137273 | New SEC adviser (120-day rule) | Chicago, IL | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 73 | 2026-09-11 | BYREFORGE MANAGEMENT, LP CRD 340666 · 801-137170 | New SEC adviser (120-day rule) | New York, NY | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetBroker-dealer affiliate+1 | subscribers | IAPD |
| 71 | 2026-09-11 | 5280 ASSOCIATES CRD 343955 · 801-137276 | New SEC adviser (120-day rule) | Denver, CO | 10 | — | 120-day rule (must reach $100M RAUM)10+ employees | subscribers | IAPD |
| 69 | 2026-09-11 | FINANCIAL CELEBRATIONS ADVISORY CRD 344041 · 801-137295 | New SEC adviser (120-day rule) | — | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 65 | 2026-09-11 | BOARDWALK INVESTMENT GROUP LP CRD 342867 · 801-137272 | New SEC adviser (120-day rule) | Miami, FL | 3 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 58 | 2026-09-11 | FMAC MANAGEMENT LLC CRD 337946 · 801-137271 | New SEC adviser (120-day rule) | New York, NY | 9 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliateDisciplinary disclosure+1 | subscribers | IAPD |
| 71 | 2026-09-14 | FATHOM ADVISORS LLC CRD 343731 · 801-137182 | New SEC adviser (120-day rule) | Minneapolis, MN | 22 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 71 | 2026-09-14 | ROUND TABLE ADVISORS, LLC CRD 343859 · 801-137306 | New SEC adviser (120-day rule) | Chattanooga, TN | 13 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 65 | 2026-09-14 | LR3 PARTNERS CRD 344089 · 801-137304 | New SEC adviser (120-day rule) | Conshohocken, PA | 3 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 65 | 2026-09-14 | VESSEL WEALTH PARTNERS CRD 343180 · 801-137298 | New SEC adviser (120-day rule) | Mendota Heights, MN | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 62 | 2026-09-14 | NOVERA WEALTH, INC. CRD 343978 · 801-137307 | New SEC adviser (120-day rule) | New York, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-09-14 | DAN THORNSBERRY CAPITAL ADVISORS, LLC CRD 343946 · 801-137287 | New SEC adviser (120-day rule) | Belleair Beach, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 73 | 2026-09-15 | NPW USA CRD 343603 · 801-137142 | New SEC adviser (120-day rule) | Oakville, Ontario | 5 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate | subscribers | IAPD |
| 68 | 2026-09-15 | INTEGRATED MANAGEMENT SYSTEMS CAPITAL MANAGEMENT LLC CRD 343591 · 801-137219 | New SEC adviser (120-day rule) | East Orange, NJ | 4 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 72 | 2026-09-16 | AI PORTFOLIOS CRD 343923 · 801-137285 | New SEC adviser (120-day rule) | — | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 69 | 2026-09-16 | OPIMA CAPITAL MANAGEMENT, LLC CRD 343836 · 801-137315 | New SEC adviser (120-day rule) | Ocoee, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 68 | 2026-09-16 | PROFESSIONAL PLANNING & WEALTH CRD 342089 · 801-137303 | New SEC adviser (120-day rule) | Greenville, SC | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-16 | POINT ONE PRIVATE WEALTH CRD 339679 · 801-137318 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetHas custody | subscribers | IAPD |
| 65 | 2026-09-16 | INVISCID CRD 343561 · 801-137313 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-16 | STRATEGENCE CAPITAL LLC CRD 343488 · 801-137317 | New SEC adviser (120-day rule) | Van Wert, OH | 9 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-09-16 | AQUIUM LEGACY PARTNERS CRD 343902 · 801-137316 | New SEC adviser (120-day rule) | — | 1 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 70 | 2026-09-17 | KYNANCE COVE CAPITAL LLC CRD 343050 · 801-136673 | New SEC adviser (120-day rule) | London | 2 | — | 120-day rule (must reach $100M RAUM)Advises private fundsNo website listed+1 | subscribers | IAPD |
| 68 | 2026-09-17 | SOMERSET ADVISORY, LLC CRD 343852 · 801-137353 | New SEC adviser (120-day rule) | Birmingham, AL | 6 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 62 | 2026-09-17 | STELVIO PRIVATE WEALTH CRD 343939 · 801-137327 | New SEC adviser (120-day rule) | Greenwich, CT | 2 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 68 | 2026-09-18 | HOLM & BAUCOM WEALTH ADVISORS, LLC CRD 343838 · 801-137246 | New SEC adviser (120-day rule) | Victoria, TX | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-09-21 | OMNIMINT ADVISORS LLC CRD 344155 · 801-137329 | New SEC adviser (120-day rule) | — | 1 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 65 | 2026-09-21 | ISTARI CAPITAL MANAGEMENT LP CRD 344003 · 801-137358 | New SEC adviser (120-day rule) | Santa Monica, CA | 5 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 62 | 2026-09-21 | PERSONAL WEALTH STRATEGIES CRD 344140 · 801-137346 | New SEC adviser (120-day rule) | Hamilton, NJ | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 68 | 2026-09-22 | FORVM GLOBAL INVESTMENTS LLC CRD 340612 · 801-137477 | New SEC adviser (120-day rule) | New York, NY | 4 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 65 | 2026-09-22 | FORTUNA PRIVATE WEALTH MANAGEMENT CORP. CRD 343722 · 801-137148 | New SEC adviser (120-day rule) | Miami, FL | 2 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 72 | 2026-09-23 | BCM FIXED INCOME CRD 344121 · 801-137351 | New SEC adviser (120-day rule) | Atlanta, GA | 6 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states+1 | subscribers | IAPD |
| 62 | 2026-09-24 | BORIA WEALTH MANAGEMENT, LTD CRD 343761 · 801-137370 | New SEC adviser (120-day rule) | Wayzata, MN | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 68 | 2026-09-25 | STAX LABS CRD 343399 · 801-137390 | New SEC adviser (120-day rule) | — | 4 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 65 | 2026-09-25 | CAMBIAL PARTNERS LP CRD 343375 · 801-137388 | New SEC adviser (120-day rule) | New York, Ny, NY | 3 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 65 | 2026-09-25 | 24A CAPITAL MANAGEMENT LLC CRD 344247 · 801-137382 | New SEC adviser (120-day rule) | Houston, TX | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetPerformance fees | subscribers | IAPD |
| 65 | 2026-09-28 | AEGIS GUILD CAPITAL, LLC CRD 339354 · 801-137129 | New SEC adviser (120-day rule) | New York, NY | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | 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 |
| 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 |
| 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 |
| 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 |
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