ADV disclosures

157 daily firm filing observations appeared on 09/23/2026

The observations included 155 Part 1 filings, 88 Part 2 brochures and 59 client relationship summaries. Those category counts overlap; one firm can appear in more than one category.

By Maya Chen··2 min read

A total of 157 daily firm filing observations appeared on 09/23/2026. The observed categories included 155 Part 1 filings, 88 Part 2 brochures and 59 client relationship summaries. These are overlapping categories, not separate counts of firms: a firm could appear in more than one.

Columbia Management Investment Advisers, LLC appeared in all three document categories in the 09/23/2026 observations. Its listed brochure title was “CMIA LLC PART 2A BROCHURE 23 SEPTEMBER, 2026 (FINAL).” The category observations do not establish that the documents’ contents changed.

Morgan Stanley Investment Management Limited appeared in the Part 1 category on 09/23/2026. The observation identifies that document category, but does not provide additional detail about the document’s contents.

Farallon Capital Management, L.L.C. also appeared in the Part 1 category in the 09/23/2026 observations. The record identifies no Part 2 brochure or client relationship summary category for the firm in this observation.

Ballentine Partners appeared in two categories: Part 1 and client relationship summary. The observation date was 09/23/2026; the record does not establish whether either document’s text changed.

Foundations Investment Advisors LLC appeared in all three categories on 09/23/2026. Its listed brochure title was “FOUNDATIONS FORM ADV PART 2A AS OF SEPT 23 2026.” The record provides the title and categories, not evidence of substantive changes to the documents.

The date attached to these records is an observation date. It does not establish when a firm submitted a filing or when a regulator processed it. The total counts filing observations, not unique firms across multiple days or verified edits to documents.

Complete record list

The full-period list contains 157 records. The homepage breakdown covers the complete list: Part 1 (155); Part 2 brochure (88); Client relationship summary (59).

All 157 records observed from 09/23/2026 through 09/23/2026, 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.

Showing rows 1–25 of 157. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filedReported regulatory AUM (USD)
4Sight Advisors LLC28752309/23/2026Part 1; Part 2 brochure12,953,946 USD
Adi Mahajan CPA PC33489409/23/2026Part 1; Part 2 brochure283,549 USD
Advanta Wealth Management32687709/23/2026Part 1; Part 2 brochure63,775,111 USD
ADVENT-MORRO Equity Partners, Inc.16293009/23/2026Part 1Not reported
Alchemy Special Opportunities LLP16231209/23/2026Part 1Not reported
Alisio Capital Partners LLC34351609/23/2026Part 1; Part 2 brochure; Form CRSNot reported
Allegiance Wealth Management, Inc.12139209/23/2026Part 1; Part 2 brochure41,535,745 USD
Alperin Financial Solutions, LLC32571409/23/2026Part 1; Part 2 brochure45,000,000 USD
Alterna Wealth Management, Inc.14615309/23/2026Part 1; Part 2 brochure; Form CRS1,401,363,335 USD
American Legacy Capital LLC28796709/23/2026Part 1; Part 2 brochure5,873,264 USD
Amplify Financial, LLC32572109/23/2026Part 1; Part 2 brochure; Form CRS230,715,554 USD
Analogous Investment Management Limited Liability Company30840909/23/2026Part 1; Part 2 brochure7,549,659 USD
Animus Wealth Management, Llc.30918909/23/2026Part 1; Part 2 brochure11,900,000 USD
Ardea Investment Management31260109/23/2026Part 1; Part 2 brochure3,470,433,712 USD
Authentic Life Financial Planning33394609/23/2026Part 1922,091 USD
Axxes Advisors I LLC33246009/23/2026Part 16,810,765 USD
Axxes Advisors LLC31803909/23/2026Part 1100,000 USD
Ballentine Partners15280209/23/2026Part 1; Form CRS15,316,738,538 USD
Beck Capital Management LLC15270509/23/2026Part 1; Part 2 brochure; Form CRS562,420,185 USD
Birnam Wood Capital, LLC26989709/23/2026Part 1; Form CRS106,127,018 USD
Bleichroeder LP30429509/23/2026Part 1; Part 2 brochure; Form CRS2,431,232,134 USD
Blue Bear Financial, LLC33122609/23/2026Part 1; Form CRS147,365,028 USD
Blue Pool Capital Limited32935709/23/2026Part 1Not reported
Bodney Capital Management LLC34123209/23/2026Part 1Not reported
Borges Financial31190609/23/2026Part 1; Part 2 brochureNot reported

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