Firms

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 the first 10 of 157 rows.

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
Show 147 more rows (157 total)
FirmFirm CRDObservedDocuments filedReported regulatory AUM (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
Bossert Capital LLC28557209/23/2026Part 1; Part 2 brochure16,704,444 USD
Bradesco Global Advisors13441609/23/2026Part 1; Form CRS181,543,478 USD
Brentview Investment Management, LLC30040909/23/2026Part 1; Part 2 brochure265,661,976 USD
Brown Venture Group LLC34426609/23/2026Part 1Not reported
Building Wealth Financial Advisory LLC33994809/23/2026Part 1; Part 2 brochureNot reported
Burkholder Wealth Management30530009/23/2026Part 1; Form CRS379,869,603 USD
Capital Standard LLC30695409/23/2026Part 1Not reported
Capstone Investment Group15991809/23/2026Part 1; Part 2 brochure; Form CRS342,736,000 USD
Carry Advisors LLC32362009/23/2026Part 1; Form CRS180,909,997 USD
Catalyst Financial Partners29933509/23/2026Part 1; Form CRS1,722,297,612 USD
Chronometer Partners LP33992909/23/2026Part 1308,447,340 USD
Cincinnati Asset Management Inc.10494609/23/2026Part 1; Part 2 brochure; Form CRS2,531,546,094 USD
City Center Advisors, LLC20351309/23/2026Part 1; Part 2 brochure; Form CRS187,067,948 USD
Clairalpha Advisors LLC34208709/23/2026Part 2 brochure3,736,654 USD
Columbia Cent Clo Advisers, LLC31086409/23/2026Part 12,995,750,368 USD
Columbia Management Investment Advisers, LLC10825709/23/2026Part 1; Part 2 brochure; Form CRS502,404,181,723 USD
Compass Capital Corporation11232309/23/2026Part 1; Part 2 brochure; Form CRS695,480,382 USD
Corgi Strategies, LLC33798509/23/2026Part 1; Part 2 brochure799,330,000 USD
Couture Financial Inc.13430309/23/2026Part 1; Part 2 brochure29,993,242 USD
Crescent Real Estate LLC15839709/23/2026Part 1; Part 2 brochure5,113,386,114 USD
Drogheda Capital LLC34471409/23/2026Part 1Not reported
Dundee Capital Management LLC34316909/23/2026Part 1; Part 2 brochureNot reported
Dyer Private Wealth Management33565509/23/2026Part 1; Part 2 brochure57,249 USD
Echo45 Advisors LLC30726509/23/2026Part 1; Form CRS227,385,600 USD
Ecio, Inc.30143209/23/2026Part 1; Form CRS395,623,696 USD
Emancipare Investment Advisors31547309/23/2026Part 1; Part 2 brochureNot reported
Equal Voices Wealth LLC30411309/23/2026Part 1; Part 2 brochure59,037,361 USD
Everhart Advisors10709109/23/2026Part 2 brochure2,464,105,196 USD
Expand Financial, LLC15251509/23/2026Part 1; Part 2 brochure; Form CRS2,772,194,954 USD
Farallon Capital Management, L.L.C.10732209/23/2026Part 152,076,899,000 USD
FCG Investment Company30819209/23/2026Part 1; Form CRS568,225,701 USD
Financehq LLC32515709/23/2026Part 1; Form CRSNot reported
Financial Enhancement Group15901709/23/2026Part 1; Form CRS986,999,188 USD
Flowstream Asset Management, LLC34437909/23/2026Part 1Not reported
Fortitude Advisory Group L.L.C.11608309/23/2026Part 1; Part 2 brochure; Form CRS467,549,690 USD
Fortitude Family Office31761509/23/2026Part 1; Part 2 brochure; Form CRS1,268,210,154 USD
Fortrove Partners32853609/23/2026Part 15,750,064 USD
Foundations Investment Advisors LLC17508309/23/2026Part 1; Part 2 brochure; Form CRS10,097,715,159 USD
Global Beta Advisors29817609/23/2026Part 1; Form CRS28,801,241 USD
Glover Park Wealth Management, LLC30979309/23/2026Part 1; Part 2 brochure; Form CRS144,252,021 USD
Greensledge Advisors LLC30534109/23/2026Part 12,313,992,141 USD
Grimes & Company10942009/23/2026Part 1; Part 2 brochure; Form CRS6,298,759,513 USD
Hampton Park Financial Planners31733209/23/2026Part 1; Part 2 brochure19,695,970 USD
Haverford Wealth Management, LLC34308709/23/2026Part 1; Part 2 brochureNot reported
Heaphy Investments, LLC15184909/23/2026Part 1; Part 2 brochure67,224,229 USD
Hegdahl Investment Management, LLC16904309/23/2026Part 1; Part 2 brochure44,835,662 USD
Henrickson Nauta Wealth Advisors, Inc.14120109/23/2026Part 1; Part 2 brochure; Form CRS998,490,721 USD
HFG Wealth Management, LLC14840609/23/2026Part 1; Part 2 brochure; Form CRS505,616,927 USD
High Country Stewardship34410409/23/2026Part 1Not reported
Holocron Holdings34322409/23/2026Part 1; Part 2 brochureNot reported
Ineffable Ventures LLC32930009/23/2026Part 1Not reported
Integrated Advisors Network LLC17199109/23/2026Part 1; Part 2 brochure; Form CRS5,522,561,843 USD
Investments Plus LLC30604009/23/2026Part 1; Part 2 brochure37,300,000 USD
Johnston Investment Counsel, Ltd.10972609/23/2026Part 1; Part 2 brochure; Form CRS124,954,747 USD
Kortenkamp, Joshua F32242509/23/2026Part 1; Part 2 brochure13,500,000 USD
L & S Advisors, Inc.14092309/23/2026Part 1; Part 2 brochure1,163,055,017 USD
L 1 Global Wealth LLC33721309/23/2026Part 1; Part 2 brochure; Form CRS2,810,167,033 USD
Legacy Partners Financial Group, LLC13702509/23/2026Part 1; Form CRS107,628,538 USD
Lifelong Advisory Corp.33644109/23/2026Part 1; Part 2 brochureNot reported
Lund Capital Management LLC32589709/23/2026Part 11,000,000 USD
Maine Advisory Associates31167909/23/2026Part 1; Part 2 brochure; Form CRS116,549,001 USD
Margin Advisory Group LLC34165309/23/2026Part 1; Part 2 brochureNot reported
Meira Wealth10864809/23/2026Part 1; Form CRS317,822,212 USD
MJ Capital Management LLC34022609/23/2026Part 1; Part 2 brochureNot reported
Morgan Stanley Investment Management Limited10592209/23/2026Part 1174,539,375,039 USD
Mosaic FI LLC16967009/23/2026Part 1; Part 2 brochure; Form CRS112,808,698 USD
Motley Fool Asset Management14968809/23/2026Part 12,603,671,290 USD
Nubian Square Investment Advisors, LLC31595509/23/2026Part 1; Part 2 brochure12,990,723 USD
Oak Road Wealth Management28444609/23/2026Part 1; Part 2 brochure80,071,959 USD
Obra Capital Management, Llc.15523109/23/2026Part 15,746,830,885 USD
Obra Fund Management, LLC32820709/23/2026Part 171,644,067 USD
Occidental Asset Management, LLC16865009/23/2026Part 1; Form CRS1,071,771,428 USD
Optometry Wealth Advisors LLC31728609/23/2026Part 1; Part 2 brochure7,887,436 USD
Overture Wealth Management33361309/23/2026Part 1; Part 2 brochure13,910,276 USD
Oxford Harriman Private Wealth Management34031309/23/2026Part 1Not reported
Parisi Capital30843609/23/2026Part 19,106,480 USD
Passport Wealth Management29744909/23/2026Part 1; Form CRS115,333,521 USD
Peak Financial Management Inc.11055909/23/2026Part 1; Form CRS534,424,348 USD
Penserra Wealth Management33321809/23/2026Part 12,500,000 USD
Peridge Capital Management LLC34424309/23/2026Part 1Not reported
Planvest Financial, Inc.29030609/23/2026Part 1175,860,431 USD
Private Wealth Asset Management31581909/23/2026Part 1; Form CRS2,523,259,243 USD
Purpose Built32655409/23/2026Part 1; Part 2 brochure28,500,000 USD
Q Wealth USA Inc.33400809/23/2026Part 1; Part 2 brochure; Form CRSNot reported
Quantumvest, Inc.17178009/23/2026Part 1; Part 2 brochure41,221,699 USD
R. F. Lafferty & Co., Inc.249809/23/2026Part 1; Form CRS129,823,421 USD
R7 Partners29938509/23/2026Part 1Not reported
Rai Wealth Management27713709/23/2026Part 1; Part 2 brochure; Form CRS159,654,662 USD
Range Advisory, LLC32196909/23/2026Part 11,388,737,633 USD
Raymond James (USA) Ltd.2585309/23/2026Part 1; Form CRS1,991,381,912 USD
Redhawk Wealth Advisors, Inc.14661609/23/2026Part 1; Form CRS1,456,218,697 USD
Render Financial, LLC33598309/23/2026Part 1; Part 2 brochure1,590,000 USD
Retire Agile30923809/23/2026Part 1; Part 2 brochure433,731,160 USD
Retire Lab LLC34007009/23/2026Part 1; Part 2 brochureNot reported
Retire Wise, LLC34433309/23/2026Part 1; Part 2 brochureNot reported
Rja Asset Management LLC15342809/23/2026Part 1; Part 2 brochure; Form CRS588,940,507 USD
RLS Financial Services30515809/23/2026Part 1; Part 2 brochure22,432,592 USD
Rowley Financial LLC29918209/23/2026Part 1; Part 2 brochure86,816,781 USD
RP Zeigler Investment Services29792509/23/2026Part 1; Part 2 brochure64,707,084 USD
Rubicon Advisors17444709/23/2026Part 1; Form CRS420,724,128 USD
Sand Point Capital Management, LP34313709/23/2026Part 1Not reported
Schulmerich & Associates Asset Management, LLC11254709/23/2026Part 1; Part 2 brochure; Form CRS153,000,000 USD
Secovia Capital LLC34433809/23/2026Part 1Not reported
Sherrod Wealth Management34367409/23/2026Part 1; Part 2 brochureNot reported
Siebert Advisornxt, Llc.28857209/23/2026Part 1; Part 2 brochure; Form CRS391,509,579 USD
Solutions 4 Wealth14324809/23/2026Part 1; Form CRS189,447,995 USD
Sound Capital Solutions LLC31103409/23/2026Part 1305,731,458 USD
South Avenue Investment Partners, LLC15026709/23/2026Part 1; Part 2 brochureNot reported
Summit Capital Solutions LLC28147809/23/2026Part 1; Form CRSNot reported
Summit Investment Management, Ltd.11018809/23/2026Part 1; Part 2 brochure87,011,836 USD
Summit Place Financial Advisors, LLC14798409/23/2026Part 1; Form CRS300,404,815 USD
Teucrium Investment Advisors, LLC31879909/23/2026Part 1277,436,623 USD
The O.H.I.O. Fund33017809/23/2026Part 1; Part 2 brochure474,598,765 USD
Transglobal Advisory, LLC16870909/23/2026Part 1; Form CRS58,340,309 USD
Truarc Partners, LP31228809/23/2026Part 13,977,768,969 USD
Twin Oak ETF Company33036509/23/2026Part 11,057,835,660 USD
UG Investment Advisers Ltd.16718309/23/2026Part 1; Part 2 brochure3,513,362,014 USD
V3 Management PTE. Ltd.26881409/23/2026Part 1Not reported
Vanheel Management Limited28206409/23/2026Part 1; Part 2 brochure197,419,230 USD
Vector7 Capital34147109/23/2026Part 1Not reported
Vici Advisors LLC34342609/23/2026Part 1; Part 2 brochureNot reported
Virtue Capital Management, LLC16781609/23/2026Part 1; Form CRS1,310,521,132 USD
Virtus Financial Partners32336509/23/2026Part 1; Form CRS152,530,132 USD
Volpe Investments LLC34004709/23/2026Part 1; Part 2 brochure22,011,161 USD
Walker Capital Partners, LLC32887109/23/2026Part 1; Part 2 brochure3,096,517 USD
Walkner Condon Financial Advisors LLC16010909/23/2026Part 1; Form CRS1,031,180,911 USD
Wallington Asset Management14336009/23/2026Part 1; Part 2 brochure; Form CRS1,317,647,542 USD
West Coast Capital Management, LLC14198109/23/2026Part 1; Part 2 brochure21,021,351 USD
West Tower Group, LLC32352009/23/2026Part 1; Part 2 brochure146,204,838 USD
Westbourne Credit Management Limited30103309/23/2026Part 1Not reported
Wilmington Trust Asset Management, LLC32548909/23/2026Part 1; Part 2 brochure271,387,847 USD
Wolfpack Wealth Management30171909/23/2026Part 1; Part 2 brochure635,697 USD

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