Filing changes
SEC data October 1, 2026
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Sign in or start freeFiling changes
SEC data October 1, 2026
Sign inYou’re seeing a preview. Members get every firm, every advisor and every filing.
Sign in or start freeWhat changed in the SEC’s registered-adviser data from September 2025 to October 2026. Breakaways are our read: new, small wealth firms that weren’t registered before. See ownership deals from the filings.
Back on the SEC’s list with $110 million and 6 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $114 million and 8 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $119 million and 4 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $111 million and 2 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $100 million and 2 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $166 million and 2 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $129 million and 4 advisory staff. Looks like a breakaway: a new, small wealth firm.
Newly registered with the SEC with $108 million and 1 advisory staff. Looks like a breakaway: a new, small wealth firm.
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