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 |
|---|---|---|---|---|---|---|---|---|---|
| 68 | 2026-10-23 | PICACHO FINANCIAL CONSULTING CRD 344639 · 801-137583 | New SEC adviser (120-day rule) | Hermosa Beach, CA | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 68 | 2026-10-23 | CRESCENT ADVISORY SOLUTIONS, LLC CRD 344292 · 801-137579 | New SEC adviser (120-day rule) | Cary, NC | 11 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 65 | 2026-10-23 | NOSTRADAMUS SOLUTIONS LLC CRD 344458 · 801-137580 | New SEC adviser (120-day rule) | Miami, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-23 | HAVEN FUNDING LLC CRD 344545 · 801-137586 | New SEC adviser (120-day rule) | Santa Barbara, CA | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 71 | 2026-10-22 | SELECT WEALTH PARTNERS CRD 344024 · 801-137574 | New SEC adviser (120-day rule) | Middletown, NY | 19 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 65 | 2026-10-22 | DRIFTMARK CAPITAL CRD 338531 · 801-137575 | New SEC adviser (120-day rule) | Dallas, TX | 3 | — | 120-day rule (must reach $100M RAUM)Has custody | subscribers | IAPD |
| 65 | 2026-10-22 | CMPD12 CAPITAL, LLC CRD 344646 · 801-137590 | New SEC adviser (120-day rule) | — | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 62 | 2026-10-22 | BLUE ORCA SECURITIES CRD 344606 · 801-137556 | New SEC adviser (120-day rule) | North Palm Beach, FL | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 62 | 2026-10-22 | CAMPEONES FC LLC CRD 344699 · 801-137605 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 53 | 2026-10-22 | ORION CAPITAL WEALTH AND INVESTMENT MANAGEMENT, LLC CRD 343682 · 801-137438 | New SEC adviser (120-day rule) | Las Vegas, NV | 11 | — | 120-day rule (must reach $100M RAUM)10+ employeesNo website listed | subscribers | IAPD |
| 72 | 2026-10-20 | NIGHTINGALE WEALTH SOLUTIONS CRD 342681 · 801-137492 | New SEC adviser (120-day rule) | Needham, MA | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNotice-filed in 5+ states | subscribers | IAPD |
| 70 | 2026-10-20 | GRAVITY ADVISERS LLC CRD 344703 · 801-137563 | New SEC adviser (120-day rule) | Houston, TX | 1 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate | subscribers | IAPD |
| 65 | 2026-10-20 | THREE OAKS ADVISORY GROUP, LLC CRD 344348 · 801-137566 | New SEC adviser (120-day rule) | Richardson, TX | 3 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 76 | 2026-10-19 | PEAK6 ADVISORY SERVICES CRD 343264 · 801-137283 | New SEC adviser (120-day rule) | New York, NY | 14 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate10+ employees | subscribers | IAPD |
| 66 | 2026-10-19 | C2C PRIVATE WEALTH, LLC CRD 343915 · 801-137363 | New SEC adviser (120-day rule) | Miami, FL | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 65 | 2026-10-19 | INNOVATIVE WEALTH PLANNING, LLC CRD 344346 · 801-137456 | New SEC adviser (120-day rule) | Suffield, CT | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 81 | 2026-10-16 | SIGNALRANK AI CORP CRD 343905 · 801-137554 | New SEC adviser (120-day rule) | — | 4 | $31M | 120-day rule (must reach $100M RAUM)Advises private fundsHas custody | subscribers | IAPD |
| 65 | 2026-10-16 | STEWART ADVISORY SERVICES, INC. CRD 344426 · 801-137545 | New SEC adviser (120-day rule) | Elmira, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetHas custody | subscribers | IAPD |
| 65 | 2026-10-16 | FOUR PILLARS FINANCIAL PLANNING GROUP, LLC CRD 343979 · 801-137547 | New SEC adviser (120-day rule) | Nokomis, FL | 9 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 65 | 2026-10-16 | TENGROVE LLC CRD 344503 · 801-137546 | New SEC adviser (120-day rule) | New York, NY | 2 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 68 | 2026-10-15 | MAVERIQ CAPITAL GROUP LLC CRD 344599 · 801-137528 | New SEC adviser (120-day rule) | San Francisco, CA | 12 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 65 | 2026-10-15 | FRONTIER CAPITAL, LLC CRD 344504 · 801-137506 | New SEC adviser (120-day rule) | Pittsburgh, PA | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-15 | CLEROS WEALTH PARTNERS, LLC CRD 344362 · 801-137418 | New SEC adviser (120-day rule) | Denver, CO | 4 | — | 120-day rule (must reach $100M RAUM)No website listed | subscribers | IAPD |
| 65 | 2026-10-15 | SIGHTCAST EQUITY GROUP, LLC CRD 344530 · 801-137525 | New SEC adviser (120-day rule) | — | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetPerformance fees | subscribers | IAPD |
| 65 | 2026-10-15 | INVESTORIA CRD 344482 · 801-137531 | New SEC adviser (120-day rule) | — | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | 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 | 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 |
| 71 | 2026-10-08 | DRAGONARCH PARTNERS CRD 343654 · 801-137446 | New SEC adviser (120-day rule) | New York, NY | 13 | — | 120-day rule (must reach $100M RAUM)10+ employeesPerformance fees | subscribers | IAPD |
| 65 | 2026-10-08 | SOLVE WEALTH CRD 344189 · 801-137480 | New SEC adviser (120-day rule) | — | 1 | — | 120-day rule (must reach $100M RAUM)Has custody | subscribers | IAPD |
| 52 | 2026-10-08 | APEX WEALTH ADVISORS, LLC CRD 339638 · 801-137013 | New SEC adviser (120-day rule) | Vienna, VA | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetBroker-dealer affiliate | subscribers | IAPD |
| 69 | 2026-10-07 | LAKESTONE WEALTH MANAGEMENT CRD 344441 · 801-137582 | New SEC adviser (120-day rule) | Minnetonka, MN | 6 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 68 | 2026-10-07 | VALENCE FINANCIAL CRD 343167 · 801-137471 | New SEC adviser (120-day rule) | Bethlehem, PA | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 65 | 2026-10-06 | ARRIVED CRD 343847 · 801-137448 | New SEC adviser (120-day rule) | New York, NY | 3 | — | 120-day rule (must reach $100M RAUM) | 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 | 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 | 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 |
| 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 |
| 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 | 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 | 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 | 2026-09-29 | 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 |