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 126–150 of 157. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filedReported regulatory AUM (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

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