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Capital Gains Advisory reports $1 million in AUM
Its Sept. 20 filing lists $1 million in regulatory AUM, compared with $0 in a filing dated Sept. 13.
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Firms
Firm activity and disclosures
Reported registrations, firm profiles, ADV document filings, changes in daily ADV record presence and non-merger withdrawals.
ADV DISCLOSURES
Part 1 filings lead 168 daily firm filing observations on September 21
The September 21, 2026, feed contains 168 daily firm filing observations. Part 1 appears in 165 records, Part 2 brochures in 83, and client relationship summaries in 67; the document categories overlap.
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FIRMS
35 firms show reported AUM changes in September 18–20 observations
ADP Strategic Plan Services and Research Affiliates feature among 35 firms with verified changes between reported Form ADV AUM amounts.
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FIRM LIFECYCLE
Two California Firms Among 15 ADV Record Exit Observations
ADV feed recorded 15 exit observations for Sep 18–20, 2026, with 8 on Sep 18 and 7 on Sep 19, including two California firms.
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FIRM LIFECYCLE
Trigram and Roath Capital Appear in New ADV Records
The September 18–20 records contain 34 feed addition observations. Selected records include an exempt reporting adviser and a Florida state-registered firm.
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REGULATORY FILINGS
September ADV Filing Activity Summary
Across the September 18–20 period, RIA Signal observed 176 daily firm filing observations. This total includes multiple document types and reflects distinct firm-level reporting activity.
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WITHDRAWALS
Closures and registration changes lead August’s 51 non-merger ADV-W filings
The complete non-merger list includes 13 closing reasons, 12 no-longer-advising reasons, nine SEC-to-state registration changes and six 120-day eligibility withdrawals. Selected filings show why scope and stated reason matter.
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