State adviser firms
State adviser registrations
IAPD firm-state observations reported as APPROVED. Registration is a source status, not an endorsement or a principal-office location.
6,602 published state registrations on 5,942 distinct firm CRDs.
- RUBICON INVESTMENT MANAGEMENT & ANALYTICS
Firm CRD 141219 · TX · Reported as state-registered
Registration date: 2007-01-01
- FOREST HILL FINANCIAL ADVISORY GROUP LLC
Firm CRD 141274 · CA · Reported as state-registered
Registration date: 2006-10-11
- NOTARO WEALTH ADVISORY
Firm CRD 141275 · TX · Reported as state-registered
Registration date: 2007-05-24
- PERIDOT CAPITAL MANAGEMENT
Firm CRD 141280 · WA · Reported as state-registered
Registration date: 2013-10-28
- ROYALE INVESTMENT ADVISOR LLC
Firm CRD 141287 · CA · Reported as state-registered
Registration date: 2006-11-20
- YORKVILLE CAPITAL MANAGEMENT LLC
Firm CRD 141333 · CA · Reported as state-registered
Registration date: 2025-08-21
- JOHNSON, JASON L.
Firm CRD 141350 · TX · Reported as state-registered
Registration date: 2006-12-14
- THE FINANCIAL TEAM, INC.
Firm CRD 141355 · AZ · Reported as state-registered
Registration date: 2021-10-27
- THE FINANCIAL TEAM, INC.
Firm CRD 141355 · CA · Reported as state-registered
Registration date: 2006-12-07
- SPIRITUS FINANCIAL PLANNING
Firm CRD 141372 · CA · Reported as state-registered
Registration date: 2007-01-01
- ROCKROSE CAPITAL MANAGEMENT, LLC
Firm CRD 141405 · CA · Reported as state-registered
Registration date: 2006-10-23
- SOUND INVESTMENT STRATEGIES, INC.
Firm CRD 141440 · CA · Reported as state-registered
Registration date: 2026-09-25
- SOUND INVESTMENT STRATEGIES, INC.
Firm CRD 141440 · WA · Reported as state-registered
Registration date: 2012-06-26
- MARIAN FINANCIAL SERVICES, INC.
Firm CRD 141456 · CA · Reported as state-registered
Registration date: 2020-11-20
- MARIAN FINANCIAL SERVICES, INC.
Firm CRD 141456 · TX · Reported as state-registered
Registration date: 2009-11-09
- ANTONE ASSET MANAGEMENT, INC
Firm CRD 141468 · CA · Reported as state-registered
Registration date: 2006-11-08
- BULLBEAR INVESTMENT MANAGEMENT, LLC
Firm CRD 141513 · CA · Reported as state-registered
Registration date: 2006-11-22
- BROKAW RICE INVESTMENT ADVISORS, INCORPORATED
Firm CRD 141533 · TX · Reported as state-registered
Registration date: 2016-06-28
- THE TILTED FUNDS GROUP, LLC
Firm CRD 141537 · CA · Reported as state-registered
Registration date: 2007-05-08
- LEEDOM ASSET MANAGEMENT, INC.
Firm CRD 141606 · CA · Reported as state-registered
Registration date: 2007-02-07
- TWEDDELL GOLDBERG INVESTMENT MANAGEMENT
Firm CRD 141634 · CA · Reported as state-registered
Registration date: 2025-11-17
- PACIFIC EMPIRE FINANCIAL
Firm CRD 141648 · CA · Reported as state-registered
Registration date: 2018-06-22
- FREEMAN GLOBAL INVESTMENT COUNSEL
Firm CRD 141693 · TX · Reported as state-registered
Registration date: 2006-09-05
- ASIA GLOBAL ASSET MANAGEMENT, INC
Firm CRD 141786 · CA · Reported as state-registered
Registration date: 2007-10-18
- O'REILLY WEALTH ADVISORS
Firm CRD 141789 · CA · Reported as state-registered
Registration date: 2006-12-12