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 $155 million and 2 advisory staff.
Newly registered with the SEC with 2 advisory staff. Registration pending (120-day approval).
Newly registered with the SEC with 1 advisory staff. Registration pending (120-day approval).
Newly registered with the SEC with 2 advisory staff. Registration pending (120-day approval).
Newly registered with the SEC with 9 advisory staff. Registration pending (120-day approval).
Newly registered with the SEC with 1 advisory staff. Registration pending (120-day approval).
Newly registered with the SEC with 2 advisory staff.
Newly registered with the SEC with 1 advisory staff. Registration pending (120-day approval).
1,905 more changes in this feed.
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