M&A
24 merger-related ADV-W withdrawal filings all cite sold, acquired or merged
Every one of the 24 merger-related Form ADV-W withdrawal filings in September 2026 cited "sold, acquired or merged" as the reason; no verified transaction announcement was found for the named firms.
By Claire Bennett·Monthly report ·1 min read
Advisers filed 24 merger-related Form ADV-W withdrawal filings between September 1 and September 30, 2026, and all 24 cited "sold, acquired or merged" as the reason for leaving registration. The reasons are the filers' own statements; they do not, on their own, confirm that a sale, acquisition or merger was completed.
The merger-related withdrawals sat within a complete September 2026 Form ADV-W archive of 69 filings. The counts describe filings rather than unique transactions, so one filing does not necessarily equal one deal.
None of the month's filings came with a verified transaction announcement. The monthly transaction research lists no verified announcement for any firm named in the September filings, including Stillwater Capital Advisors, LLC, Opes Wealth Management, LLC and U.S. Capital Wealth Advisors, LLC. That absence does not by itself establish that no transaction occurred.
The month's numbers carry further limits: filing counts do not establish unique deal counts, and withdrawal filings do not show asset or client transfers, business closures or the outcome of any transaction.
Complete merger-related filing list
All 24 matching filings from the complete 69-filing September 2026 archive. Filing dates and reported reasons are distinct from transaction announcement dates and business outcomes.
| Adviser | CRD | Filed | Withdrawal scope | Filer-reported reason | Reported transaction details | Announcement date | M&A source |
|---|---|---|---|---|---|---|---|
| Arbor Capital Management Inc. | 111362 | 09/14/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Banyan Global Investment Advisors, LLC | 283264 | 09/30/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Barrier Capital Management, LLC | 312294 | 09/22/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Brave Family Advisors | 108512 | 09/17/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Evoke Advisors | 300856 | 09/04/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Financial Planning Associates, LLC | 159404 | 09/16/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Harvest Investment Consultants LLC | 110258 | 09/29/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| High Falls Advisors, Inc. | 108678 | 09/30/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Iam Advisory LLC | 305492 | 09/17/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Northern Capital Retirement Services, Inc. | 163327 | 09/30/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Opes Wealth Management, LLC | 299704 | 09/17/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Pinnacle Wealth Management, LLC | 315578 | 09/09/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Plum Pointe Wealth Management | 332618 | 09/02/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Sachetta, LLC | 145713 | 09/23/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Sapphire Blue Investment Partners | 291609 | 09/28/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Socha Financial Group, LLC | 299263 | 09/14/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Stillwater Capital Advisors, LLC | 149946 | 09/30/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Thirdline Capital Management LLC | 314158 | 09/16/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Trippon Wealth Management Group LLC | 136485 | 09/01/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| U.S. Capital Wealth Advisors, LLC | 288199 | 09/03/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Wagner Loftin Investment Services LLC | 109770 | 09/02/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Wealthplans, LLC | 311560 | 09/02/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Wealthshield Partners, LLC | 169584 | 09/01/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |
| Westend Advisors, LLC | 133279 | 09/30/2026 | full | Firm sold, acquired, or merged with another investment adviser firm | No verified announcement found | Not reported | — |