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.
New chief compliance officer on Form ADV: Vinicius Ribeiro, replacing Michael Andrews.
New chief compliance officer on Form ADV: Sam Oudeh, replacing Harris Bogner.
New chief compliance officer on Form ADV: Timothy Regan, replacing Michelle A McCarthy.
New chief compliance officer on Form ADV: Casey Stevenson, replacing Giselle Casella.
New chief compliance officer on Form ADV: Robert Lester, replacing Leila Shaver.
New chief compliance officer on Form ADV: Debra Shannon, replacing Dawn Claussen.
New chief compliance officer on Form ADV: Donna Naitove, replacing Laura Kraus.
New chief compliance officer on Form ADV: Kristina L. Staples, replacing Catherine Groves Ramsdell.
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