Intelligence
Published reporting on adviser firms, offerings and holdings.
Form 13F calendar and coveragePRIVATE FUNDS
A Form D filed November 12, 2026, for TTC 2026 a Series of What If Ventures Master LLC lists 17 investors already invested. The complete daily index for that date contained 349 notices across issuer types.
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AUM CHANGES
HBW’s latest filing lists $2.1 billion in regulatory AUM, compared with $1.7 billion in its earlier filing. The comparison was observed Nov. 12, 2026, among 17 firms with reported regulatory AUM differences.
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FIRM EXITS
On 11/12/2026, Charlton Management, LLC was not observed in the compared SEC feed. The selected-period roster lists 6 firm feed absences that day; feed absence does not establish closure or deregistration.
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ADV DISCLOSURES
On Nov. 12, 2026, Focus Partners Wealth, LLC had a client relationship summary text change among 124 daily firm filing observations. The date marks when documents were observed, not when they were submitted.
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NEW FIRMS
Five distinct firms had first registrations on November 12, 2026. Tampa Bay Islands Investors’ Florida registration was dated that day; the roster was observed November 13.
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13F HOLDINGS
The SEC daily index observed on November 12, 2026, included 1,006 Form 13F filings. Principal Securities, Inc.’s filing lists $8,585,854,562 in reported securities value for September 30, 2026.
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AUM CHANGES
Selective Wealth Management’s latest filing listed $566.7M in regulatory AUM, compared with $454.8M in an earlier filing. The 14-firm count covers comparisons observed Nov. 11, 2026.
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FIRM EXITS
On November 11, 2026, 25 firm feed absences were observed in the compared ADV feed. Prosperity Financial Planning LLC and Worth Financial Group Inc. were not observed in their state feed; this does not establish that either firm closed or deregistered.
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PRIVATE FUNDS
A CAZ Co-Investment Opportunities Fund notice reported $25,000 in cumulative sales in its filing. The complete daily index for November 10, 2026, contained 259 Form D notices.
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FIRM EXITS
On Nov. 10, the compared ADV feed recorded four firm feed absences. Consonance Wealth Management, LLC was not observed in the state feed; this does not establish closure or a change in business status.
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13F HOLDINGS
The Nov. 9, 2026, EDGAR daily index included 409 Form 13F filings. Lincoln National's filing reports securities held as of Sept. 30; the figure is not total AUM.
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PRIVATE FUNDS
A complete daily index dated Nov. 9, 2026, listed 191 Form D notices. NOAH Purple Rain Ltd Liability Co’s filing reported $9,178,697 in cumulative sales.
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AUM CHANGES
Skylar Wealth Management’s latest Form ADV lists $975.5 million in regulatory AUM, compared with $0 in an earlier filing. The 24-firm comparison was observed Nov. 6–8, 2026.
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NEW FIRMS
Six distinct firms’ earliest reported SEC or state registration dates fell between 11/06/2026 and 11/08/2026. NEXT20 Wealth’s first registration date was 11/06/2026.
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ADV DISCLOSURES
From November 6 to 8, 2026, the total was 183 daily firm filing observations. Balyasny Asset Management L.P. was among the firms with Part 1 and brochure observations on November 6.
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FIRM EXITS
The compared ADV feeds had 15 firm feed absences from Nov. 6 through Nov. 8, 2026. Sporl & Company was not observed in the state feed on Nov. 7.
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PRIVATE FUNDS
A Form D filed by Ga 3in VC reported a pooled investment fund classification. The complete daily index was for November 6; checks found zero filings on November 7 and 8.
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13F HOLDINGS
The covered EDGAR daily index for November 6–8, 2026, contains 425 Form 13F filings. Geode Capital Management’s filing reports securities held as of September 30, 2026; the index can include filings for earlier quarters.
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AUM CHANGES
Astravia Family Wealth Office LLC’s latest Form ADV listed $608,986,268 in regulatory AUM, compared with $0 in an earlier filing. Qualifying comparisons were observed Nov. 5, 2026, for 20 firms.
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PRIVATE FUNDS
A complete daily index dated November 5, 2026, listed 260 Form D notices across issuer types. SAM Alternative Investment Opportunities Fund III, L.P.’s filing reported 16 investors already invested.
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FIRM EXITS
On November 5, 2026, Exponent Wealth LLC and Drawingboard Wealth Advisors LLC were not observed in the compared state feed. The seven firm feed absences are feed observations, not evidence of closure or deregistration.
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AUM CHANGES
RBG Capital's latest Form ADV lists $359.6 million in regulatory AUM, compared with $0 in its earlier filing. Thirteen firms had qualifying comparisons observed Nov. 4, 2026.
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FIRM EXITS
On November 4, 2026, the compared ADV feeds recorded 6 firm feed absences. The count describes feed observations, not confirmed closures or distinct firms.
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PRIVATE FUNDS
Fanatic Capital I, LLC’s Form D filed November 3, 2026, lists $8.2 million in cumulative sales. The complete daily index for that date contained 247 notices across issuer types.
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FIRM EXITS
On November 3, 2026, Infinity Strategies Advisors LLC was not observed in the compared state ADV feed. The four firm feed absences describe feed observations, not confirmed closures.
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AUM CHANGES
Bluespring’s latest Form ADV, filed 11/01/2026, lists $7.8B in regulatory AUM, compared with $5.4B in its 07/01/2026 filing. Two firms had qualifying comparisons observed 11/02/2026.
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13F HOLDINGS
In the complete daily index dated November 2, 2026, Creative Planning’s Form 13F lists $178.7 billion in reported securities value for its September 30 portfolio.
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PRIVATE FUNDS
A complete daily index dated November 2, 2026, contained 197 Form D notices. J. Donnelly Investment Fund LLC’s filing reported $0 in cumulative sales.
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ADV DISCLOSURES
Klingenstein Fields Advisors’ client relationship summary text changed in an observation within a three-day period that included 211 daily firm filing observations from October 30 to November 1, 2026.
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AUM CHANGES
Kayne Anderson Capital Advisors, L.P. reported $14.3B in regulatory AUM in its latest filing, compared with $34.1B earlier. Comparable differences for 33 firms were observed Oct. 30–Nov. 1, 2026.
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PRIVATE FUNDS
A filing for RC The Unforgiven reported a venture capital fund. The Oct. 30–Nov. 1, 2026, index window included 274 Form D notices across issuer types.
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13F HOLDINGS
The covered daily index through November 1, 2026, contained 234 Form 13F filings. Associated Banc-Corp’s filing, submitted October 30, reported securities value of $4,241,359,375 for a portfolio dated September 30.
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NEW FIRMS
Nineteen firms had first firm registrations from 10/30/2026 through 11/01/2026. Pomerium Capital Management’s registration date was 10/30/2026.
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FIRM EXITS
From October 30 through November 1, 2026, the compared ADV feed showed 23 firm feed absences. Indie Asset Partners, LLC was not observed in the SEC feed on October 30; an absence does not establish closure or deregistration.
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M&A
In October 2026, 30 Form ADV-W filings listed “sold, acquired or merged” as the filer-reported reason, within a 72-filing monthly archive.
Monthly report
OTHER WITHDRAWALS
Agriglobe Land Advisors, LLC’s October 6, 2026, withdrawal filing lists September 30 as its business-cessation date, while giving continuing advisory activity under an exemption as the reason. The month included 42 non-merger Form ADV-W filings.
Monthly report
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