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 126–150 of 157. The CSV contains the complete table.
| Firm | Firm CRD | Observed | Documents filed | Reported regulatory AUM (USD) |
|---|---|---|---|---|
| Sand Point Capital Management, LP | 343137 | 09/23/2026 | Part 1 | Not reported |
| Schulmerich & Associates Asset Management, LLC | 112547 | 09/23/2026 | Part 1; Part 2 brochure; Form CRS | 153,000,000 USD |
| Secovia Capital LLC | 344338 | 09/23/2026 | Part 1 | Not reported |
| Sherrod Wealth Management | 343674 | 09/23/2026 | Part 1; Part 2 brochure | Not reported |
| Siebert Advisornxt, Llc. | 288572 | 09/23/2026 | Part 1; Part 2 brochure; Form CRS | 391,509,579 USD |
| Solutions 4 Wealth | 143248 | 09/23/2026 | Part 1; Form CRS | 189,447,995 USD |
| Sound Capital Solutions LLC | 311034 | 09/23/2026 | Part 1 | 305,731,458 USD |
| South Avenue Investment Partners, LLC | 150267 | 09/23/2026 | Part 1; Part 2 brochure | Not reported |
| Summit Capital Solutions LLC | 281478 | 09/23/2026 | Part 1; Form CRS | Not reported |
| Summit Investment Management, Ltd. | 110188 | 09/23/2026 | Part 1; Part 2 brochure | 87,011,836 USD |
| Summit Place Financial Advisors, LLC | 147984 | 09/23/2026 | Part 1; Form CRS | 300,404,815 USD |
| Teucrium Investment Advisors, LLC | 318799 | 09/23/2026 | Part 1 | 277,436,623 USD |
| The O.H.I.O. Fund | 330178 | 09/23/2026 | Part 1; Part 2 brochure | 474,598,765 USD |
| Transglobal Advisory, LLC | 168709 | 09/23/2026 | Part 1; Form CRS | 58,340,309 USD |
| Truarc Partners, LP | 312288 | 09/23/2026 | Part 1 | 3,977,768,969 USD |
| Twin Oak ETF Company | 330365 | 09/23/2026 | Part 1 | 1,057,835,660 USD |
| UG Investment Advisers Ltd. | 167183 | 09/23/2026 | Part 1; Part 2 brochure | 3,513,362,014 USD |
| V3 Management PTE. Ltd. | 268814 | 09/23/2026 | Part 1 | Not reported |
| Vanheel Management Limited | 282064 | 09/23/2026 | Part 1; Part 2 brochure | 197,419,230 USD |
| Vector7 Capital | 341471 | 09/23/2026 | Part 1 | Not reported |
| Vici Advisors LLC | 343426 | 09/23/2026 | Part 1; Part 2 brochure | Not reported |
| Virtue Capital Management, LLC | 167816 | 09/23/2026 | Part 1; Form CRS | 1,310,521,132 USD |
| Virtus Financial Partners | 323365 | 09/23/2026 | Part 1; Form CRS | 152,530,132 USD |
| Volpe Investments LLC | 340047 | 09/23/2026 | Part 1; Part 2 brochure | 22,011,161 USD |
| Walker Capital Partners, LLC | 328871 | 09/23/2026 | Part 1; Part 2 brochure | 3,096,517 USD |