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 76–100 of 157. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filedReported regulatory AUM (USD)
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

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