Private Advisor Group, LLC

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)
• Other

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$57,703,120,793 as of October 2026, filing dated September 30, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Publication of periodicals or newsletters
• Educational seminars/workshops
• Other

Also doing business as

1406 FINANCIAL, 54 FINANCIAL GROUP, ABILITY WEALTH GROUP, LLC, ADVANCED WEALTH ADVISORY, LLC, ADVANTAGE FINANCIAL GROUP, ADVANTAGE INVESTMENT ADVISORS, AERO CAPITAL, AGING ISSUES MANAGEMENT, AK FINANCIAL GROUP, ALADINO FINANCIAL SERVICES, ALBANY FINANCIAL GROUP, ALMANZA WEALTH MANAGEMENT, ALNA FINANCIAL GROUP, LLC, ALPERT FINANCIAL, AMERICAN FINANCIAL ADVISORS, INC, AMERICAN FINANCIAL MANAGEMENT GROUP, ANCHOR FINANCIAL ASSOCIATES, LLC, ANDERSON SCHWARZ FINANCIAL LTD, ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP, ANGLIN WEATLH MANAGEMENT, APD WEALTH MANAGEMENT, LLC, APEX FINANCIAL PLANNING, ARCURI ASSOCIATES WEALTH MANAGEMENT, ARTEMIS WEALTH ADVISORS, ASCEND INTEGRATED WEALTH, ASCENT WEALTH MANAGEMENT, ATLANTIC WEALTH LLC, ATLAS WEALTH STRATEGIES, BAKER WEALTH MANAGEMENT, LLC, BALLAST FINANCIAL, LLC, BAYVIEW FINANCIAL GROUP, BEASLEY WEALTH MANAGEMENT, BINGHAMTON FINANCIAL GROUP, BLACK STONE FINANCIAL INC, BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC, BLUE WATER FINANCIAL LLC, BONNIE CAPITAL, BOOKMARK ASSET MANAGEMENT, BOTKIN FAMILY WEALTH MANAGEMENT, BOYER FINANCIAL GROUP, BRANDYWINE WEALTH MANAGEMENT, BREAKWATER WEALTH MANAGEMENT, BRIGHTWORKS WEALTH MANAGEMENT, BROADWAY GRAHAM WEALTH PARTNERS, BROOKS WEALTH MANAGEMENT, BROOKWOOD ADVISORS, BROWN FINANCIAL SERVICES GROUP, BSF ADVISORS, BUTERA WEALTH MANAGEMENT LLC, BUTLER FINANCIAL GROUP, BYAS WEALTH MANAGEMENT, CAMBER WEALTH, CAMINO ADVISORS, CAMPBELL KRUG WEALTH MANAGEMENT, CANOGA WEALTH MANAGEMENT, LLC, CAPITAL PLANNING WEALTH MANAGEMENT, CAPITAL WEALTH COUNSEL, CAPLAN CAPITAL MANAGEMENT, INC, CAPRIOTTI & COMPANY, CAPSTONE WEALTH MANAGEMENT, LLC, CAPWEALTH, CARDINAL WEALTH PARTNERS, CAVAN WEALTH MANAGEMENT, LLC, CBC FINANCIAL ADVISORS, CE FINANCIAL, CHANNEL ISLANDS TAX & WEALTH MANAGEMENT, CISSNE WEALTH MANAGEMENT, CLARITY FINANCIAL PLANNING, CLEARLIFE WEALTH MANAGEMENT, CLEARPATH FINANCIAL PARTNERS, CLEARPOINT ADVISORS, LLC, CLEARVIEW INVESTMENT PARTNERS, CLIENT FIRST.FINANCIAL ADVICE, CODREA FINANCIAL SERVICES, COMMON SENSONOMICS WEALTH MANAGEMENT, COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC, COMMONWEALTH PENSION MANAGEMENT, LLC, COMPASS CAPITAL MANAGEMENT, COMPASS INVESTMENT ADVISORS LLC, COMPREHENSIVE FINANCIAL PROFESSIONALS, INC., COMPREHENSIVE WEALTH MANAGEMENT LLC, COPPOLA WEALTH MANAGEMENT, CORNERSTONE FINANCIAL, CORTBURG RETIREMENT ADVISORS, INC., COTTON WEALTH MANAGEMENT ASSOCIATES, LLC, COVENANT FINANCIAL STRATEGIES INC., COVENANT WEALTH ADVISORS, CRESTWELL FINANCIAL PARTNERS, CRNA FINANCIAL PLANNING, CROW CANYON INVESTMENTS AND FINANCIAL PLANNING, CUNNINGHAM WEALTH MANAGEMENT, CYPRESS WEALTH PARTNERS, LLC, D.M. WALLACE & CO., DANIEL M ROSENTHAL FINANCIAL CONSULTANT, DEHAAN LINDSEY WEALTH MANAGEMENT, DELISANTI WEALTH MANAGEMENT, DEMPSEY & DRUMM, DEROSIER AND ASSOCIATES, DFS ASSOCIATES INC., DILDAY & ASSOCIATES, DIME AND ASSOCIATES, DJ SMITH FINANCIAL SERVICES, DOLL INSURANCE GROUP & FINANCIAL SERVICE, LLC, DOUGLAS & HORNBERGER, LLP, DOWD WEALTH MANAGEMENT, DRAKE FINANCIAL SERVICES LLC, DUERR FINANCIAL GROUP, DVB FINANCIAL, EASTGATE FINANCIAL GROUP, INC, EC FINANCIAL GROUP, ECS CAPITAL INVESTMENTS, EDGE RETIREMENT ADVISORY LLC, ELEMINT WEALTH MANAGEMENT, ELEVATION WEALTH ADVISORS, ENTRUST WEALTH PARTNERS, EPM FINANCIAL, EQ PRIVATE WEALTH ADVISORS, EQUITY DEVELOPMENT CORPORATION, EUVINO BARBARA PRIVATE WEALTH MANAGEMENT, EXECUTIVE WEALTH STRATEGIES, FARM ESTATE, TRANSITION, & RETIREMENT PLANNING LLC, FINANCE FORWARD, LLC, FINANCIAL FREEDOM PARTNERS, FINANCIAL PLANNERS OF N.J., FINANCIAL PLANNING ASSOCIATES LLC, FIRST RESPONDER FINANCIAL, FISHER FINANCIAL SERVICES, FLYNN FINANCIAL PARTNERS, LTD, FLYNN WEALTH PARTNERS, FORGE WEALTH MANAGEMENT, FORTIUS FINANCIAL, FORTRESS FINANCIAL SOLUTIONS, FORTUNAM WEALTH MANAGEMENT, FOUNDATION WEALTH MANAGEMENT, FPA BENEFITS, FPA WEALTH MANAGEMENT, FRANKLIN WEALTH SOLUTIONS, FRINGE BENEFITS, LLC, FRONTLINE FINANCIAL GROUP, FS PRIVATE ADVISORS, GAZALL INVESTMENT & WEALTH MANAGEMENT, GLOBAL ADVISOR GROUP, GOLDMARK ASSOCIATES, GOOD WEALTH MANAGEMENT, GORE AND STISHER WEALTH MANAGEMENT, GRACE FINANCIAL GROUP, LLC, GRANITE WEALTH PARTNERS, GREENER PATH RETIREMENT PLANNING, GUARDIAN WEALTH GROUP, HAMILTON WEALTH MANAGEMENT, HAMMOND CAPITAL MANAGEMENT LTD, HANSTAD WEALTH MANAGEMENT, HAPPINESS WEALTH MANAGEMENT, HARBOR SUMMIT FINANCIAL, LLC, HARFORD RETIREMENT PLANNERS, HARRY S. LODGE & ASSOCIATES, LLC, HARVEST WEALTH PARTNERS, HEALTHY 401K, HICKORY FINANCIAL GROUP, HICKS FINANCIAL SERVICES, LLC, HIGHPOINT ADVISORS LLC, HOFFMAN WEALTH MANAGEMENT, HOLISTIC FINANCIAL PLANNING, HOPPER FINANCIAL SERVICES, INC., HORATIO STREET WEALTH MANAGEMENT, HT BOLEN & ASSOCIATES, HUMANITY WEALTH ADVISORS, IC WEALTH MANAGEMENT, IDEAL FINANCIAL ADVISORS, INDEPENDENCE FINANCIAL SERVICES, INDEPENDENT FINANCIAL RESOURCES, LLC, INDEPENDENT PLANNER LLC, INNOVESTIVE ADVISORS, INSPIRE WEALTH GROUP, INTEGRIGEN WEALTH MANAGEMENT, INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC, INTEGRITY WEALTH PARTNERS, INTERGENERATIONAL PLANNING LLC, INVESTMENT SERVICES GROUP, INVESTORS FINANCIAL GROUP, IO FINANCIAL, ISG, ISOSCELES PLANNING GROUP, INC., ITI STRATEGIES, INC., J. SPENCER & CO., J.A. MILLER WEALTH MANAGEMENT, JAMES MANTIONE WEALTH MGMT INC, JANET HOROWITZ LLC, JBL FINANCIAL SERVICES, INC., JC FINANCIAL GROUP, LLC, JK LYONS WEALTH MANAGEMENT, JMR CAPITAL GROUP, LLC, JOSEPH KLEIN ASSOCIATES LLC, JOSEPH L. SORICELLI INSURANCE AND FINANCIAL SERVICES, JOSEPH SOLOMON & COMPANY, JSO PARTNERS, JUNO ASSET MANAGEMENT, JUNO PRIVATE WEALTH, K-12 FINANCIAL ADVISORS, KARIS JONES WEALTH MANAGEMENT, KEMPNER WEALTH MANAGEMENT, KLEIN INVESTMENT STRATEGIES, KM FINANCIAL PARTNERS, KRAEUTLER FINANCIAL, KREMER & ASSOCIATES INC., KRUEGER ADVISORS, LLC, KUPCHOK WEALTH MANAGEMENT LLC, KUPIEC INVESTMENT GROUP LLC, LAGOM RIDGE ADVISORS, LANDVIK FINANCIAL, LANTERN GLOBAL ADVISORS, LLC, LAZARO WEALTH CONSULTANTS, LDM ADVISORS, LEGACY WEALTH PLANNING LLC, LEGACY WEALTH PLANNING, LLC, LEONFORTE FINANCIAL ADVISORY LLC, LEVEL FINANCIAL PARTNERS, LEWIS WEALTH MANAGEMENT, LGR FINANCIAL INC, LIGHTHOUSE STRATEGIC ADVISORS, LLC, MACRO EDGE ADVISORY GROUP, LLC, MADISON WEALTH PLANNERS, LLC, MAIN STREET WEALTH MANAGEMENT, MAP WEALTH MANAGEMENT, MARCELLO WEALTH MANAGEMENT INC, MARTIN LADER CERTIFIED FINANCIAL PLANNER, MCCOMBS FINANCIAL SERVICES, MCCREA ALLEN, MEHOK WEALTH MANAGEMENT, MEMPHIS PLANNING & WEALTH, MERCER PARTNERS WEALTH MANAGEMENT, MERCER WEALTH MANAGEMENT, MERRILL INVESTMENTS, MEYER & NORLAND FINANCIAL GROUP LLC, MICHIGAN FINANCIAL GROUP, MIDER CAPITAL MANAGEMENT, MIKE CUNNINGHAM INVESTMENTS, MILLENNIUM WEALTH MANAGEMENT, MILLS WEALTH MANAGEMENT GROUP, MISSE WEALTH MANAGEMENT, MONARCH WEALTH MANAGEMENT, LLC, MONTANA HERITAGE FINANCIAL SERVICES, MONTEREY BAY WEALTH MANAGEMENT, MONTICELLO WEALTH MANAGEMENT, LLC, MOYER FINANCIAL MANAGEMENT, MSIX CAPITAL PARTNERS, MSM WEALTH MANAGEMENT, MULTIGEN WEALTH SERVICES, INC., MYICON, NAPOLI WEALTH MANAGEMENT, NATURAL STATE WEALTH ADVISORS, NEIGHBORS WEALTH MANAGEMENT GROUP, NET WORTH ADVISORS, NEW VINTAGE CAPITAL, LLC, NEWBOULD WEALTH MANAGEMENT, LLC, NEWMAN WEALTH MANAGEMENT ADVISORS, NEWTOWN INVESTMENT SERVICES, NOEL & COMPANY WEALTH MANAGEMENT LLC, NORM GREVEY INVESTMENTS, NORTHWARD FINANCIAL GROUP, NURTURED WEALTH, OAK TREE WEALTH MANAGEMENT, OC WEALTH COACH, OCEAN CITY FINANCIAL GROUP, LLC, ORLA WEALTH MANAGEMENT, LLC, PARKS WEALTH MANAGEMENT, PARKWAY WEALTH MANAGEMENT, PASSEY PILLAR FINANCIAL, PAXEL FINANCIAL CONSULTING, PEROD, MASTERS AND ASSOCIATES, PETERSMARK FINANCIAL NETWORK, LTD., PHILADELPHIA FINANCIAL, LLC, PHILLIPS & CO. WEALTH MANAGEMENT, PHOENIX STRATEGIC PLANNING, PINNACLE ADVISOR GROUP, PINNACLE ADVISORS WEALTH MANAGEMENT PLANNING, PK WEALTH MANAGEMENT, PLAZA WEALTH MANAGEMENT, POE ADVISORY GROUP, POLARIS WEALTH MANAGEMENT, POND WEALTH MANAGEMENT, LLC, POTASH FINANCIAL, POTERACK CAPITAL ADVISORY, PRATT COLLARD BUCK ADVISORY GROUP, PRIVATE ADVISOR PARTNERS, PROSPER FINANCIAL, PROVIDENCE WEALTH MANAGEMENT, PRUITT & ASSOCIATES, INC, PURE WEALTH PARTNERS, PURPOSE WEALTH, PURPOSEFUL WEALTH, INC, PUTNAM AND MAIN WEALTH MANAGEMENT, RALL FINANCIAL SERVICES, RASMUSSEN ADVISORS LLC, RCB FINANCIAL SERVICES, RED OAK WEALTH MANAGEMENT, RED TOWER ADVISORS, RETIREMENT & FINANCIAL STRATEGIES, RETIREMENT LEGACY GROUP, RETIREMENT WEALTH ADVISORS, INC, RETIREMENT WEALTH MANAGEMENT, RFS WEALTH ADVISORS, RISLER FINANCIAL MANAGEMENT, LLC, ROCKET RETIREMENT LLC, ROCKWELL ADVISORS, RYON WEALTH STRATEGIES, SABATUCCI WEALTH STRATEGIES, SAGE FINANCIAL, LLC, SAGE INVESTMENT GROUP, SAIBREAS WEALTH ADVISORS, SAIL FINANCIAL, SAMARA PRIVATE WEALTH, SAXE CAPITAL, SCHOLAR 401K SOLUTIONS, SCHOLAR WEALTH MANAGEMENT, SCHWARTZ WEALTH MANAGEMENT, SEACOAST WEALTH ADVISORS, SEQUENTIAL WEALTH MANAGEMENT, LLC, SERVE PRIVATE WEALTH, SGI WEALTH MANAGEMENT, LLC, SHERMANINVEST, SLANKSTER FINANCIAL, SLATTERY & ASSOCIATES, SOFIA FINANCIAL, SONOMA COUNTY WEALTH ADVISORS, SOURCE FINANCIAL, SPARTAN LAKE WEALTH, SPENCER LOUIS WEALTH MANAGEMENT, SPRAGUE WEALTH SOLUTIONS, LLC, STADIA CAPITAL ADVISORS, STANDARD OF (K)ARE ADVISORS, STOLA & ASSOCIATES, STONEBRIDGE WEALTH MANAGEMENT, STONEBRIDGE WEALTH MANAGEMENT, LLC, STONECASTLE CONSULTING, STONEDAM ASSET MANAGEMENT, STONES RIVER WEALTH MANAGEMENT, STRAIGHTFORWARD WEALTH MANAGEMENT, LLC, STRATEGIC ASSET SERVICES, STRATEGIC DIVORCE SOLUTIONS, INC., STROUSE WEALTH ADVISORS, STRUCTURED ASSET SERVICES, SUMMIT PARTNERS, INC., SUNHARBOR WEALTH ADVISORS, LLC, TACKMAN CAPITAL MANAGEMENT, THE COCKFIELD FAMILY OFFICE, THE DAHAN/YURKO GROUP AT WEALTH STRATEGIES & MANAGEMENT LLC, THE DIAMOND GROUP WEALTH ADVISORS, THE GALLAGHER FINANCIAL GROUP, THE LEGACY FOUNDATION, THE MONY DR, THE SLUSS ADVISORY GROUP, THOMAS CHARLES WEALTH MANAGEMENT, THOMAS WEALTH MANAGEMENT, THOUGHTFUL PLAN INC., THRIVE WEALTH ADVISORS, THRIVEPOINT FINANCIAL, TJS FINANCIAL SERVICES, TRI-HILL ADVISORS, TRINITY FINANCIAL ADVISORS, LLC, TRINITY FINANCIAL STRATEGIES, TRUE NORTH FINANCIAL SERVICES, TRULYTICS FINANCIAL CORP., UNIFIED WEALTH ADVISORS, UNIQUE PLANNING, VAN KESTEREN CAPITAL MANAGEMENT, VERMONT RETIREMENT PLANNERS,LLC, VIGILANCE WEALTH, WAGGONER FINANCIAL, WAGGONER GLOBAL ADVISORS, WARNER WEALTH STRATEGIES, WARREN AND ASSOCIATES WEALTH MANAGEMENT, WARWICK VALLEY FINANCIAL ADVISORS, WATCH HILL FINANCIAL, INC, WATERSHED WEALTH MANAGEMENT, WEALTH ARCHITECTS INC., WEALTH STRATEGIES & MANAGEMENT LLC, WEALTH VISION ADVISORS, WEALTHPORTRAIT FINANCIAL, LLC, WEINTRAUB FINANCIAL SERVICES, WELLS WEALTH MANAGEMENT LLC, WEST CAPITAL WEALTH MANAGEMENT, WESTLAKE FINANCIAL MANAGEMENT, WG FINANCIAL, WILLOW CREEK WEALTH MANAGEMENT, WISSING WEALTH MANAGEMENT, LLC, WISWELL WEALTH MANAGEMENT (WWM), WP FINANCIAL, YILLIONAIRE FAMILY OFFICE, YOUNGBLOOD WEALTH MANAGEMENT, ZION CAPITAL WEALTH MANAGEMENT LLC

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2011 (15 years)

Employees

Total: 930. Performing investment advisory functions: 885.

Wrap fee program participation

Yes.

Custodians (Schedule D, Section 5.K(3))

Fidelity Brokerage Services LLCLPL Financial LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

Other offices (Schedule D, Section 1.F)

25 other offices, as of the October 2026 filing

Albany, NYAvon, CTBedminster, NJBentonville, ARBuffalo, NYCenter Valley, PAEast Lansing, MIFishers, INLansdale, PALansing, MILouisville, KYMcMurray, PAMount Juliet, TNMt. Laurel, NJMunster, INNew Rochelle, NYOwensboro, KYPlymouth, MNReston, VARock Hill, SCSpringfield, ILStroudsburg, PATroy, MIVoorhees, NJWest Chester, PA

States registered or notice-filed

53 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

6 Reports 6 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Criminal matters Items 11.A and 11.B

• 11.A(2) In the past ten years, has the firm or an advisory affiliate been charged with a felony?

Regulatory matters Items 11.C to 11.G

• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $30,086,226,623 in the October 2021 data and $57,703,120,793 in the October 2026 data, up 92%.

Total employees: 651 in October 2021 and 930 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. October 2026
   • Added the business name Wealthportrait Financial, LLC.
   • Added the business name Retirement Wealth Management.
   • Added the business name JC Financial Group, LLC.
   • Added the business name Anglin Weatlh Management.
   • Employees performing advisory functions went from 670 to 885.
   • Regulatory assets under management went from $44,327,930,714 to $57,703,120,793 (+30%).
   • Added an office in Bentonville, AR.
   • Added an office in Fishers, IN.
   • Added an office in Lansdale, PA.
   • Added an office in Lansing, MI.
   • Added an office in McMurray, PA.
   • Added an office in Owensboro, KY.
   • No longer lists an office in Allentown, PA.
   • No longer lists an office in Bedminster, NJ.
   • No longer lists an office in Moorestown, NJ.
   • No longer lists an office in Rochester, NY.
   • No longer lists an office in Rosemont, PA.
   • Updated its list of owners and control persons (Schedule A).
2. September 2026
   • No longer lists the business name Scheeler Financial Group.
   • Added the business name Passey Pillar Financial.
   • Added the business name Norm Grevey Investments.
   • Added the business name Legacy Wealth Planning, LLC.
   • Added the business name IC Wealth Management.
   • Added the business name Campbell Krug Wealth Management.
3. August 2026
   • No longer lists the business name Logiki Financial, LLC.
   • No longer lists the business name Enrich 360 Wealth Advisors.
   • No longer lists the business name Diamond Group Wealth Advisors.
   • Added the business name Vigilance Wealth.
   • Added the business name The Diamond Group Wealth Advisors.
   • Added the business name Strategic Divorce Solutions, Inc..
   • Added the business name Stadia Capital Advisors.
   • Added the business name Rasmussen Advisors LLC.
   • Added the business name Paxel Financial Consulting.
4. July 2026
   • Added the business name Zion Capital Wealth Management LLC.
   • Added the business name Westlake Financial Management.
   • Added the business name West Capital Wealth Management.
   • Added the business name Wealth Vision Advisors.
   • Added the business name Watershed Wealth Management.
   • Added the business name Watch Hill Financial, Inc.
   • Added the business name Warner Wealth Strategies.
   • Added the business name Van Kesteren Capital Management.
   • Added the business name Unique Planning.
   • Added the business name Unified Wealth Advisors.
   • Added the business name Sprague Wealth Solutions, LLC.
   • Added the business name Sonoma County Wealth Advisors.
   • Added the business name Slankster Financial.
   • Added the business name Saxe Capital.
   • Added the business name Sail Financial.
   • Added the business name RFS Wealth Advisors.
   • Added the business name Retirement Wealth Advisors, Inc.
   • Added the business name Red Tower Advisors.
   • Added the business name Putnam and Main Wealth Management.
   • Added the business name Oak Tree Wealth Management.
   • Added the business name Nurtured Wealth.
   • Added the business name Napoli Wealth Management.
   • Added the business name Multigen Wealth Services, Inc..
   • Added the business name Monterey Bay Wealth Management.
   • Added the business name Misse Wealth Management.
   • Added the business name Mills Wealth Management Group.
   • Added the business name Mercer Partners Wealth Management.
   • Added the business name McCrea Allen.
   • Added the business name Logiki Financial, LLC.
   • Added the business name Lighthouse Strategic Advisors, LLC.
   • Added the business name Legacy Wealth Planning LLC.
   • Added the business name Klein Investment Strategies.
   • Added the business name JSO Partners.
   • Added the business name Integrity Capital Wealth Management, LLC.
   • Added the business name Ideal Financial Advisors.
   • Added the business name Humanity Wealth Advisors.
   • Added the business name Hicks Financial Services, LLC.
   • Added the business name Happiness Wealth Management.
   • Added the business name Executive Wealth Strategies.
   • Added the business name Equity Development Corporation.
   • Added the business name EQ Private Wealth Advisors.
   • Added the business name Enrich 360 Wealth Advisors.
   • Added the business name ECS Capital Investments.
   • Added the business name Douglas & Hornberger, LLP.
   • Added the business name Dime and Associates.
   • Added the business name Dilday & Associates.
   • Added the business name Diamond Group Wealth Advisors.
   • Added the business name Crow Canyon Investments and Financial Planning.
   • Added the business name Covenant Wealth Advisors.
   • Added the business name Common Sensonomics Wealth Management.
   • Added the business name Clearlife Wealth Management.
   • Added the business name Clarity Financial Planning.
   • Added the business name Channel Islands Tax & Wealth Management.
   • Added the business name Caplan Capital Management, Inc.
   • Added the business name Camino Advisors.
   • Added the business name Camber Wealth.
   • Added the business name Brown Financial Services Group.
   • Added the business name Brooks Wealth Management.
   • Added the business name Black Stone Financial Inc.
   • Added the business name Baker Wealth Management, LLC.
   • Added the business name Ascend Integrated Wealth.
   • Added the business name American Financial Advisors, Inc.
   • Added the business name Alna Financial Group, LLC.
   • Added the business name Aladino Financial Services.
   • Added the business name Aero Capital.
5. June 2026
   • Added the business name Purpose Wealth.
   • Added the business name Mehok Wealth Management.
   • Added the business name Kempner Wealth Management.
   • Added the business name IO Financial.
6. May 2026
   • Added the business name Aging Issues Management.
   • Added the business name Bookmark Asset Management.
   • Added the business name Boyer Financial Group.
   • Added the business name BSF Advisors.
   • Added the business name Comprehensive Wealth Management LLC.
   • Added the business name Edge Retirement Advisory LLC.
   • Added the business name Farm Estate, Transition, & Retirement Planning LLC.
   • Added the business name Franklin Wealth Solutions.
   • Added the business name Granite Wealth Partners.
   • Added the business name Lazaro Wealth Consultants.
   • Added the business name TJS Financial Services.
   • No longer lists the business name Arcuri & Associates.
   • No longer lists the business name Becker Financial Advisors.
   • No longer lists the business name Bohall Financial Group.
   • No longer lists the business name Bookmark Advisors.
   • No longer lists the business name Brightside Advisors.
   • No longer lists the business name Chadwick Bay Financial Services.
   • No longer lists the business name Comprehensive Wealth Management Group.
   • No longer lists the business name Comprehensive Wealth Management Inc.
   • No longer lists the business name Connections Financial Advisors.
   • No longer lists the business name Crossroads Financial.
   • No longer lists the business name E.J. Connors Associates.
   • No longer lists the business name Entrust Wealth Partners, LLC.
   • No longer lists the business name Fairport Wealth Management.
   • No longer lists the business name Family Financial NY.
   • No longer lists the business name First Due Financial.
   • No longer lists the business name FPA Business Solutions.
   • No longer lists the business name FPA Owner Transitions.
   • No longer lists the business name Franklin Financial Group.
   • No longer lists the business name Gordon Private Wealth.
   • No longer lists the business name Hansen Financial Group.
   • No longer lists the business name Harvest Financial Planning LLC.
   • No longer lists the business name Harvest Wealth MGMT..
   • No longer lists the business name Herrlinger Financial Group.
   • No longer lists the business name IFG.
   • No longer lists the business name Johnston & Associates Private Wealth Advisors.
   • No longer lists the business name KC Family Financial.
   • No longer lists the business name Kimmel Financial Services.
   • No longer lists the business name Kolba Wealth Management.
   • No longer lists the business name Kolba Wealth Management Private Client Services.
   • No longer lists the business name Legacy Foundation.
   • No longer lists the business name MHK Retirement Partners.
   • No longer lists the business name Norton Wealth Management.
   • No longer lists the business name Open Road Wealth Services.
   • No longer lists the business name Pineridge Consultants.
   • No longer lists the business name Premier Wealth Partners.
   • No longer lists the business name Rocketvest.com.
   • No longer lists the business name Rockwell Private Client Group.
   • No longer lists the business name SCH Financial Group LLC.
   • No longer lists the business name Seacoast Wealth Management.
   • No longer lists the business name Shaw Investment Group.
   • No longer lists the business name Shaw Investments.
   • No longer lists the business name Stewardship Financial.
   • No longer lists the business name Strouse Financial Group LLC.
   • No longer lists the business name The MHK Group.
   • No longer lists the business name Thomas Charles.
   • No longer lists the business name Tony Pondel, Certified Financial Planner, P.C..
   • No longer lists the business name Venne Wealth Management.
   • No longer lists the business name VNB Investment Services.
   • No longer lists the business name VNB Wealth Management.
   • No longer lists the business name Wealth Management Group.
   • No longer lists the business name Wealthpoint, LLC.
   • No longer lists the business name WS&M LLC.
7. April 2026
   • Employees performing advisory functions went from 742 to 670.
   • Added an office in Avon, CT.
   • Added an office in Moorestown, NJ.
   • Added an office in Rochester, NY.
   • Added an office in Rosemont, PA.
   • Added an office in Troy, MI.
   • No longer lists an office in Charlottesville, VA.
   • No longer lists an office in Lansdale, PA.
   • No longer lists an office in Lansing, MI.
   • No longer lists an office in McMurray, PA.
   • No longer lists an office in West Hartford, CT.
8. March 2026
   • Added the business name Harvest Wealth Partners.
9. February 2026
   • Added the business name Almanza Wealth Management.
   • Added the business name Samara Private Wealth.
   • No longer lists the business name Cadia Private Client.
   • No longer lists the business name Greene Wealth Management.
10. January 2026
    • No longer lists the business name BCG Financial Services Ltd.
11. December 2025
    • Regulatory assets under management went from $37,264,670,686 to $41,370,460,253 (+11%).
    • Added the business name Moyer Financial Management.
    • Added the business name Serve Private Wealth.
    • Added the business name Spartan Lake Wealth.
    • No longer lists the business name Gephart Moyer Financial Advisors.
    • No longer lists the business name Serve Wealth Management.
12. November 2025
    • Added the business name Serve Wealth Management.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.