Olde Raleigh: $565.7M in regulatory AUM; 17 firms show reported regulatory AUM differences

Olde Raleigh Financial Group lists $565.7M in reported regulatory AUM in its latest Form ADV filing, dated Oct. 27, 2026. Its earlier filing, dated July 17, 2026, listed $0.0M in reported regulatory AUM, so there is no starting amount against which a percentage change can meaningfully be calculated. The $565.7M figure is the difference between the two reported amounts, not a measure of assets moved.

Olde Raleigh is one of 17 firms with comparable, exact reported regulatory AUM differences in the complete comparison set observed Oct. 28, 2026. The comparisons are between reported amounts in latest and earlier filings; the observation date does not date any asset movement, and the evidence does not establish that all 17 firms filed during that window.

Among firms with a prior nonzero amount, Thomas J. Herzfeld Advisors, Inc. reported the largest dollar difference. Its latest filing, dated Oct. 27, 2026, lists $1.3B in reported regulatory AUM, compared with $890.4M in its Aug. 18, 2026, filing — a reported difference of $445.4M, about 50% higher than the earlier reported amount.

A second firm also moved from a $0 reported amount. PFS Signature Wealth lists $211.6M in reported regulatory AUM in its Oct. 27, 2026, filing; its prior filing, dated June 26, 2026, listed $0.0M in reported regulatory AUM. As with Olde Raleigh, no percentage change can meaningfully be calculated from a $0 starting amount.

Oceanus Capital Partners, LLC reported the largest percentage difference among firms with a prior nonzero amount: $252.0M in reported regulatory AUM in its Oct. 27, 2026, filing, versus $73.9M in its Mar. 17, 2026, filing — a reported difference of $178.1M, about 241% higher than the earlier amount.

Rounding out the larger reported differences, Highmark, LLC lists $120.2M in its Oct. 27, 2026, filing against $59.5M in its Feb. 2, 2026, filing, a reported difference of $60.7M, and Monroe Wealth Management LLC lists $109.3M against $72.2M in its May 13, 2026, filing, a reported difference of $37.0M. These figures are reported regulatory AUM as stated in Form ADV filings, not necessarily each firm's total AUM, and the reported differences do not establish net inflows or outflows.

The complete comparison set

The table below shows the complete set of 17 firms with comparable reported regulatory AUM differences observed Oct. 28, 2026, with each firm's latest and earlier reported amounts and filing dates. A caption for the complete count accompanies the chart view: 17 firms with verified reported regulatory AUM differences.

All firms with verified reported regulatory AUM changes

Complete qualifying firm list for observations Oct 28, 2026. Dollar and percentage changes compare reported Form ADV amounts; they do not measure flows. 1 comparison without two exact reported amounts is excluded.