Intelligence
Published reporting on adviser firms, offerings and holdings.
Form 13F calendar and coverage13F FILINGS
Three of eight 13F filings on Sept 21 were restatements: Mac Alpha filed a Q2 2026 restatement, Pensioenfonds Rail & OV revised two 2023 quarters, and Silicon Valley Capital Partners filed a fresh $1.23B Q2 portfolio.
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ADVISER MOVES
Registration records for Sept. 21, 2026 show 134 affiliation changes — 80 updates, 31 additions, 23 removals — with new affiliations at Strategic Advisers and RBC Capital Markets.
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ADV DISCLOSURES
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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FORM D FILINGS
The September 21 daily record contains 201 Form D notices, including 125 new notices and 76 amendments. Selected fund filings report different offering amounts and filer-stated roles.
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FIRMS
Its Sept. 20 filing lists $1 million in regulatory AUM, compared with $0 in a filing dated Sept. 13.
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PRIVATE FUNDS
September 18 brought 171 new notices and 105 amendments. BP Transtrend reported $1,587,022,050 sold cumulatively, with a first sale in 2008; the figure is not fundraising during the reporting period.
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REGULATORY FILINGS
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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13F FILINGS
Eight filings submitted September 18 describe portfolios from Q3 2024 through Q2 2026, including three OP Asset Management restatements.
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TEAM MOVES
September 18–20 records show 27 potential affiliation groups. Two selected patterns involve related Schwab and Wells Fargo firms; they do not establish coordinated moves or shared adviser branches.
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PEOPLE & CULTURE
J.P. Morgan Securities LLC filed 18 of the 166 first-registration records observed Sep 18–20, 2026; Strategic Advisers, Equitable Advisors and State Farm followed.
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FIRM LIFECYCLE
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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FIRM LIFECYCLE
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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FIRMS
ADP Strategic Plan Services and Research Affiliates feature among 35 firms with verified changes between reported Form ADV AUM amounts.
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M&A
August’s complete ADV-W archive includes 29 merger-related filings. Source reporting adds context for 24 firms, while an internal Teachers Advisors merger is shown separately from the standard acquisition and merger reason.
Monthly report
WITHDRAWALS
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.
Monthly report
