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 101–125 of 157. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filedReported regulatory AUM (USD)
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

Download data (CSV)