Investment adviser firms that just registered, every weekday
A new RIA has to pick a custodian, a compliance consultant, software and insurance in its first months. Each weekday morning we send you the firms that registered with the SEC or a state since your last email, with the business phone and website.
- New adviser firmsSEC, state and exempt
- Every weekdayWhat's new since your last email
- Email + spreadsheetPhone, website, address
- Golden State Tech INC.SEC RIA · Rowland Heights, CAOct 16
- Amicus Advisors LLCState RIA · Vienna, VAOct 16
- Thompson Meridian AdvisorsERA (SEC) · Austin, TXOct 16
- CPA Teaches LLCState RIA · Towson, MDOct 16
- Future Labs Capital II, LLCERA (state) · Jeffersonville, INOct 16
Built for companies that sell to new advisory firms
Custodians and broker-dealers
Reach new RIAs while they're choosing where to hold client assets.
Start with SEC RIAs →Compliance consultants
New firms need a compliance manual, a CCO and help with their first exam.
Start with state RIAs →Software, insurance and fund services
CRM, portfolio and planning software, E&O cover, fund admin and audit for new managers.
Start with every new adviser →About 75 new adviser firms a week
Firms that registered with the SEC or a state for the first time, by registration date, over the last 4 full weeks.
| Week | All | SEC RIAs | State RIAs | Exempt |
|---|---|---|---|---|
| Week of Sep 14 | 72 | 25 | 20 | 27 |
| Week of Sep 21 | 85 | 14 | 44 | 27 |
| Week of Sep 28 | 76 | 18 | 28 | 30 |
| Week of Oct 5 | 72 | 11 | 35 | 26 |
| Top states | A week |
|---|---|
| California | 9 |
| Texas | 9 |
| New York | 7 |
| Florida | 7 |
| Pennsylvania | 3 |
| New Jersey | 3 |
| Illinois | 3 |
| Minnesota | 3 |
Firms moving between state and SEC registration aren't new and are left out. Exempt reporting advisers are mostly venture and private fund managers.
New investment advisers, by state
How many firms registered each week, and what kind.
What lands in your inbox
Real firms from recent weeks. Every email attaches all your matches as a spreadsheet.
New investment adviser firms
Your filters · since yesterday
- SEC RIAGolden State Tech INC.Rowland Heights, CA · (626) 383-••••Oct 16registered
- State RIAAmicus Advisors LLCVienna, VA · (202) 480-••••Oct 16registered
- ERA (SEC)Thompson Meridian AdvisorsAustin, TX · (512) 998-••••Oct 16registered
- State RIACPA Teaches LLCTowson, MD · (443) 275-••••Oct 16registered
- ERA (state)Future Labs Capital II, LLCJeffersonville, IN · (502) 354-••••Oct 16registered
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Alerts go to the email you enter at checkout: the last 7 days within the hour, then every weekday morning. By purchasing you agree to the Terms and Data Use Policy. Already a customer? Manage or cancel.
Questions
Can't find what you need? Email support@sabrsoftware.com and a person answers. Sources: the SEC's Investment Adviser Public Disclosure files.
Where does the data come from?
The SEC's Investment Adviser Public Disclosure files, published daily for firms registered with the SEC and with state securities regulators. They come from each firm's Form ADV.
What counts as new?
A firm whose CRD number appears in the SEC's adviser files for the first time. Firms moving from state to SEC registration, or the other way, were already there and are left out.
What's an exempt reporting adviser?
A venture capital or private fund manager that files a short Form ADV instead of registering. They don't report employees or assets, but they do file a business phone and usually a website.
What does “120-day rule” mean?
The firm registered with the SEC expecting to qualify within 120 days. We include these and label them.
Do you include advisers' names?
No. We list firms only: the firm's name, business phone, website and address as filed on Form ADV. Individual advisers' names are never included, and the rare firm registered under a person's own name is left out.
Is there an email address?
No. Form ADV doesn't publish one. You get the business phone and the firm's website.
Which state is a firm in?
The state of its main office on Form ADV. Firms run from a home office keep that address private, so for them we use the state that registered them or the state they're organized in, and the spreadsheet says which. A few can't be placed; they go to all-US alerts only.
Can I use the data for screening or credit decisions?
No. We aren't a consumer reporting agency, and the data can't be used for credit, insurance, employment or housing decisions about anyone.
How do I cancel?
Anytime, from the link in every email. Cancellation takes effect at the end of the month you've paid for.