ADV records show 191 daily firm filing observations for Sep 25–27, 2026

ADV records show 191 daily firm filing observations across Sep 25–27, 2026. The total describes daily firm filing observations, not a count of unique firms across the period. The observations were distributed across three dates: 168 on Sep 25, 9 on Sep 26 and 14 on Sep 27. These are dates when records were observed, not established submission or processing dates.

Three overlapping categories

Part 1 accounted for 190 ADV filing observations over the period. Part 2 brochure observations numbered 106, while client relationship summaries numbered 68. The categories overlap, so their counts should not be added to describe a distinct total. An observed category also does not, by itself, establish that the document’s substantive content changed.

Large firms among the observed records

On Sep 25, Capital Research and Management Company appeared in observations for Part 1, a Part 2 brochure and a client relationship summary. Goldman Sachs Asset Management, L.P. appeared for Part 1 and a client relationship summary that day. The records establish which categories were observed for each firm; they do not establish a submission date or a substantive document change.

Ameriprise Financial Services, LLC also appeared on Sep 25 for all three categories. Its record lists three brochure titles: “Ameriprise Financial Planning Services,” “Ameriprise Managed Accounts and Financial Planning Service” and “Ameriprise Managed Accounts.” Raymond James & Associates, Inc. appeared for Part 1 and a Part 2 brochure, with the brochure title “Raymond James Wrap Fee Program Brochure.” These titles identify the observed brochure records; the observations do not describe unseen brochure text.

Examples from Sep 26 and Sep 27

The Sep 26 observations included Financial Compass LLC for Part 1 and a Part 2 brochure, and Etch Financial for Part 1. On Sep 27, Xcelsior Advisor Partners LLC, Tvamp, LLC and Austin Wealth Management, LLC each appeared for Part 1 and a client relationship summary. Tvamp, LLC’s record also lists the Part 1 field “notice filings.” The roster supplies these as selected firm observations, not a ranking or a description of the content of documents beyond the fields shown.

Complete record list

The full-period list contains 191 records. The homepage breakdown covers the complete list: Part 1 (190); Part 2 brochure (106); Client relationship summary (68).

The list below includes all 191 records observed from 09/25/2026 through 09/27/2026. A firm can file multiple document types. An observation of a filing does not itself prove a substantive document change.