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 2 of 13
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 49 | 2026-10-21 | BLACK BOX VENTURES CRD 340185 · 802-137766 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | LIVELLO CAPITAL MANAGEMENT LP CRD 305403 · 802-137769 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | BRACE EQUITY PARTNERS MANAGEMENT CRD 343964 · 802-137764 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | VERIX EQUITY PARTNERS CRD 341406 · 802-137768 | New exempt reporting adviser | Boca Raton, FL | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | COBAN CAPITAL CRD 345138 · 802-137763 | New exempt reporting adviser | Jersey City, NJ | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-21 | WESTMINSTER & PARTNERS CRD 344912 · 802-137762 | New exempt reporting adviser | London, Greater London | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-21 | DALTOK CAPITAL MANAGEMENT, LLC CRD 344720 | New state-registered adviser | Denton, TX | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-21 | VERIX EQUITY PARTNERS CRD 341406 · 802-137768 | New state-registered adviser | Boca Raton, FL | — | — | Advises private funds | subscribers | IAPD |
| 38 | 2026-10-21 | VISIONS ANALYSIS LLC CRD 286678 | New state-registered adviser | Endicott, NY | 4 | — | subscribers | IAPD | |
| 35 | 2026-10-21 | SLOPE ADVISORS LLC CRD 342973 | New state-registered adviser | Lehi, UT | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 35 | 2026-10-21 | TRIESTE PARTNERS LLC CRD 344011 | New state-registered adviser | — | 1 | $0 | No RAUM yetPerformance fees | subscribers | IAPD |
| 32 | 2026-10-21 | ATLANTICA INVESTMENT PARTNERS CRD 343789 | New state-registered adviser | Tinton Falls, NJ | 1 | — | No website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-21 | FUNCTION WEALTH ADVISORS LLC CRD 344306 | New state-registered adviser | Prescott, AZ | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-21 | BELLATRICE WEALTH CRD 309105 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 73 | 2026-10-20 | MIURA INVESTMENT ADVISORS, INC CRD 283148 · 801-133970 | New SEC-registered adviser | Miami, FL | 6 | $392M | Broker-dealer affiliateNo website listedHas custody+1 | 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 |
| 71 | 2026-10-20 | RETIREPATH WEALTH, LLC CRD 324109 · 801-137409 | New SEC-registered adviser | Little Rock, AR | 6 | $110M | Has custody | subscribers | IAPD |
| 71 | 2026-10-20 | BOLLIN WEALTH MANAGEMENT, LLC CRD 150396 · 801-137559 | New SEC-registered adviser | Perrysburg, OH | 4 | $153M | 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 |
| 58 | 2026-10-20 | ADONEX AMERICA CRD 344643 · 801-137557 | New SEC-registered adviser | Taipei | 2 | — | subscribers | IAPD | |
| 49 | 2026-10-20 | LAKESHORE CAPITAL ASIA LTD. CRD 344631 · 802-137760 | New exempt reporting adviser | Singapore | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-20 | TUMONT CAPITAL MANAGEMENT LP CRD 344737 · 802-137754 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-20 | FINTOP LLC CRD 344995 · 802-137759 | New exempt reporting adviser | Nashville, TN | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 49 | 2026-10-20 | MERIDA CAPITAL HOLDINGS LLC CRD 287784 · 802-137756 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-20 | AXON FINANCE LTD CRD 345089 · 802-137751 | New exempt reporting adviser | Denver, CO | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 43 | 2026-10-20 | LANIER ASSET MANAGEMENT, LLC CRD 150888 · 801-107331 | New state-registered adviser | Louisville, KY | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-20 | FINTOP LLC CRD 344995 · 802-137759 | New state-registered adviser | Nashville, TN | — | — | Advises private funds | subscribers | IAPD |
| 40 | 2026-10-20 | SEVENSIXNINE PARTNERS LLC CRD 345071 | New state-registered adviser | — | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 40 | 2026-10-20 | BIT POWER LLC CRD 344981 | New state-registered adviser | Sacramento, CA | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-20 | WILLOW WEALTH MANAGEMENT LLC CRD 343427 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 35 | 2026-10-20 | IRVING STREET LLC CRD 343099 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-20 | ERS CAPITAL MANAGEMENT LLC CRD 334170 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 32 | 2026-10-20 | NOYA INVESTMENT ADVISORS LLC CRD 344560 | New state-registered adviser | Birmingham, MI | 1 | $0 | No RAUM yetNo website listedHas custody | subscribers | IAPD |
| 32 | 2026-10-20 | BRIARDALE WEALTH LLC CRD 343855 | New state-registered adviser | — | 2 | $0 | No RAUM yetNo website listed | 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+2 | subscribers | IAPD |
| 71 | 2026-10-19 | BRAVE NEW WEALTH CRD 336030 · 801-137502 | New SEC-registered adviser | Westlake Village, CA | 4 | $131M | 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+1 | 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 |
| 58 | 2026-10-19 | MIRROR ADVISERS LLC CRD 344604 · 801-137552 | New SEC-registered adviser | — | 2 | $0 | No RAUM yet | subscribers | IAPD |
| 58 | 2026-10-19 | BUILDSAINTS CRD 344466 · 801-137444 | New SEC-registered adviser | New York, NY | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 49 | 2026-10-19 | DREW INVESTMENT MANAGEMENT, INC. CRD 344478 · 802-137748 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-19 | NONPUBLIC CRD 344722 · 802-137750 | New exempt reporting adviser | — | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-10-19 | WYDDIAL CAPITAL MANAGEMENT LLP CRD 345064 · 802-137745 | New exempt reporting adviser | London, England | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-19 | WESTBROOK WYDDIAL REALTY MANAGEMENT GP LIMITED CRD 345072 · 802-137746 | New exempt reporting adviser | St. Helier | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 46 | 2026-10-19 | TRENCHES CAPITAL MANAGEMENT LLC CRD 341839 · 802-137742 | New exempt reporting adviser | Phoenix, AZ | — | — | Advises private fundsNo website listedVenture capital adviser | subscribers | IAPD |
| 45 | 2026-10-19 | MOGUL ADVISORS LLC CRD 345076 | New state-registered adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 45 | 2026-10-19 | REDHAWK ADVISORY CRD 297454 · 802-131710 | New state-registered adviser | Birmingham, AL | 2 | $33M | Advises private fundsNo website listed | subscribers | IAPD |
| 35 | 2026-10-19 | VESTMENT 401K ADVISORS LLC CRD 344354 | New state-registered adviser | — | 1 | $0 | No RAUM yetHas custody | subscribers | IAPD |
| 32 | 2026-10-19 | A.M.FINTELLIGENCE CRD 344436 | New state-registered adviser | — | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
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