September 22 record lists 170 firm filing observations, including 94 Part 2 brochures

The complete record for September 22, 2026, contains 170 daily firm filing observations. It lists 170 Part 1 filings, 94 Part 2 brochures and 74 client relationship summaries. The category counts overlap, so they should not be added as if each category represented a separate firm.

This is a one-day filing snapshot, not a count across a longer period. The total describes firm filing observations on that date; it is not a count of unique firms across multiple days or a measure of how many filings contained substantive changes. For the selected firm records below, the source specifically cautions that a filing does not by itself establish substantive changes.

Selected firms filed different document combinations

HSBC Global Asset Management (USA) Inc., CWM, LLC and Steward Partners Investment Advisory, LLC each appear in the selected records with a Part 1 filing. For all three, the record lists “notice_filings” among the Part 1 fields. That field-level detail describes what the filing record identifies; it does not establish a substantive change to brochure text.

NEPC, LLC appears with both a Part 1 filing and a client relationship summary filing. Its selected record likewise lists “notice_filings” as a Part 1 field and does not report a change to the client relationship summary text. The record therefore supports describing filings observed in two categories, not claiming that particular brochure language changed.

Kestra Advisory Services, LLC is listed in all three categories: Part 1, Part 2 and client relationship summary. The record identifies three Part 2 brochure titles: retail clients, plan clients and a wrap fee program. Those titles show the kinds of brochures named in the filing record, but the record does not establish what changed in their text.

Together, the daily total and category counts describe the filings observed on September 22, 2026. They do not establish a trend from one day, and the selected firm examples are not a ranking. The records support reporting which document categories were filed and the limited field or title details supplied—not the substance of unseen brochure text.

Complete record list

The full-period list contains 170 records. The homepage breakdown covers the complete list: Part 1 (170); Part 2 brochure (94); Client relationship summary (74).

All 170 records observed from 09/22/2026 through 09/22/2026, 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.