September ADV Filing Activity Summary

Between September 18 and September 20, 2026, RIA Signal tracked 176 daily firm filing observations. These filings represent a broad mix of regulatory disclosures. Individual filing observations can include multiple document types, so categories overlap in the data.

Merrill Lynch, Pierce, Fenner & Smith Incorporated, with $1,781.6B in regulatory AUM, filed Part 1, Part 2, and Part 3 CRS documents on September 18, 2026. Despite these filings, the firm noted that there were no changes made to the Form CRS in this update.

Managed Account Advisors LLC, which reported $995.0B in regulatory AUM, also filed Part 1, Part 2, and Part 3 CRS documentation on September 18, 2026. The firm’s submission documentation mirrors the disclaimer that no changes were made to the Form CRS.

Mellon Investments Corporation recorded filings for Part 1, Part 2, and Part 3 CRS on September 18, 2026. This firm reported $873.9B in regulatory AUM. Filing observations do not constitute confirmation of substantive document changes.

On September 19, 2026, The Advocate Group, LLC reported $0.8B in regulatory AUM, filing its Part 1, Part 2, and Part 3 CRS documents. During the same daily window, Sheikh Investments, Inc. filed a Part 1 document with $0.1B in regulatory AUM, and Preservation Capital Group filed Part 1 and Part 2 documents with $0.1B in regulatory AUM.

Activity continued on September 20, 2026. Argentarii, LLC, with $0.4B in regulatory AUM, filed Part 1, Part 2, and Part 3 CRS documents. Foundry Financial LLC, holding $0.2B in regulatory AUM, filed Part 1 and Part 3 CRS documents, while Clear Harbor Wealth Management filed a Part 1 document with $0.1B in regulatory AUM.

Complete record list

The full-period list contains 176 records. The homepage breakdown covers the complete list: Part 1 (176); Part 2 brochure (114); Client relationship summary (69).

All 176 records observed from 09/18/2026 through 09/20/2026, including the examples discussed above. A firm can file multiple document types. An observation of a filing does not itself prove a substantive document change.