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·Edition ·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.
| Firm | Firm CRD | Observed | Documents filed | Reported regulatory AUM (USD) |
|---|---|---|---|---|
| Parisi Capital | 308436 | 09/23/2026 | Part 1 | 9,106,480 USD |
| Passport Wealth Management | 297449 | 09/23/2026 | Part 1; Form CRS | 115,333,521 USD |
| Peak Financial Management Inc. | 110559 | 09/23/2026 | Part 1; Form CRS | 534,424,348 USD |
| Penserra Wealth Management | 333218 | 09/23/2026 | Part 1 | 2,500,000 USD |
| Peridge Capital Management LLC | 344243 | 09/23/2026 | Part 1 | Not reported |
| Planvest Financial, Inc. | 290306 | 09/23/2026 | Part 1 | 175,860,431 USD |
| Private Wealth Asset Management | 315819 | 09/23/2026 | Part 1; Form CRS | 2,523,259,243 USD |
| Purpose Built | 326554 | 09/23/2026 | Part 1; Part 2 brochure | 28,500,000 USD |
| Q Wealth USA Inc. | 334008 | 09/23/2026 | Part 1; Part 2 brochure; Form CRS | Not reported |
| Quantumvest, Inc. | 171780 | 09/23/2026 | Part 1; Part 2 brochure | 41,221,699 USD |
| R. F. Lafferty & Co., Inc. | 2498 | 09/23/2026 | Part 1; Form CRS | 129,823,421 USD |
| R7 Partners | 299385 | 09/23/2026 | Part 1 | Not reported |
| Rai Wealth Management | 277137 | 09/23/2026 | Part 1; Part 2 brochure; Form CRS | 159,654,662 USD |
| Range Advisory, LLC | 321969 | 09/23/2026 | Part 1 | 1,388,737,633 USD |
| Raymond James (USA) Ltd. | 25853 | 09/23/2026 | Part 1; Form CRS | 1,991,381,912 USD |
| Redhawk Wealth Advisors, Inc. | 146616 | 09/23/2026 | Part 1; Form CRS | 1,456,218,697 USD |
| Render Financial, LLC | 335983 | 09/23/2026 | Part 1; Part 2 brochure | 1,590,000 USD |
| Retire Agile | 309238 | 09/23/2026 | Part 1; Part 2 brochure | 433,731,160 USD |
| Retire Lab LLC | 340070 | 09/23/2026 | Part 1; Part 2 brochure | Not reported |
| Retire Wise, LLC | 344333 | 09/23/2026 | Part 1; Part 2 brochure | Not reported |
| Rja Asset Management LLC | 153428 | 09/23/2026 | Part 1; Part 2 brochure; Form CRS | 588,940,507 USD |
| RLS Financial Services | 305158 | 09/23/2026 | Part 1; Part 2 brochure | 22,432,592 USD |
| Rowley Financial LLC | 299182 | 09/23/2026 | Part 1; Part 2 brochure | 86,816,781 USD |
| RP Zeigler Investment Services | 297925 | 09/23/2026 | Part 1; Part 2 brochure | 64,707,084 USD |
| Rubicon Advisors | 174447 | 09/23/2026 | Part 1; Form CRS | 420,724,128 USD |