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8,320 anomalies

CAPE INVESTMENT ADVISORY, INC.independent RIARAUM $474Memployee count dropChange between filings
employees (Item 5.A) moved from 140.0 to 34.0 (-76.0%) between the annual amendments of 2025-03-19 and 2026-03-31; the peer median change was 0.0% (505 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (505)1.0% percentile5.6 robust deviationsconfidence 0.85
BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLCindependent RIARAUM $705Madvisor count dropChange between filings
advisory representatives (Item 5.B.3) moved from 14.0 to 6.0 (-57.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (792 comparable advisers, 1.0th percentile of changes); IAPD lists 6 advisers registered here today
filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (792)0.8% percentile4.6 robust deviationsconfidence 0.85
BURNHAM & COMPANY LLCindependent RIARAUM $130Mwealth to institutional shiftCombination
private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $117,727,072 to $129,534,296, advisors 4 to 2, private clients 158 to 171, offices 0 to 0 (2025-03-05 to 2026-03-31)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
S••••• V•••••••asset managerRAUM $245Mprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-02-27 and 2026-03-31; the peer median change was 0.0% (731 comparable advisers, 95.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $100M to $500M (731)95% percentileconfidence 0.85
G••••••••• C•••••• L•asset managerRAUM $3.2BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $1,828,820,692 to $3,239,525,883 (+77.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 92.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)92% percentile2.8 robust deviationsconfidence 0.85
M•••• E•••••••asset managerRAUM $4.7Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 9.0% to 36.0% between the annual amendments of 2025-04-10 and 2026-03-31
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,506)confidence 0.85
T•• S••• C•••••• L•asset managerRAUM $2.8Bprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 8.0 to 12.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1019 comparable advisers, 93.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,019)93% percentile7.8 robust deviationsconfidence 0.85
P••• R••••• A•••••••• L••asset managerRAUM $1.2BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $693,408,481 to $1,224,267,519 (+77.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 91.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)91% percentile2.8 robust deviationsconfidence 0.85
O•••••• F•••••• L••asset managerRAUM $184Mprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (731 comparable advisers, 95.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $100M to $500M (731)95% percentileconfidence 0.85
L•• O••• C•••••• A•••••••• L••mixed wealthRAUM $267Minstitutional asset share shiftChange between filings
institutional share of RAUM moved from 12.0% to 37.0% between the annual amendments of 2025-04-21 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
V••• I••••••••• M••••••••• C•• L••asset managerRAUM $275Baccount count collapseChange between filings
accounts (Item 5.F.2.f) moved from 2,261.0 to 519.0 (-77.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +3.0% (110 comparable advisers, 2.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $20B and over (110)1.8% percentile6.0 robust deviationsconfidence 0.85
A•••••• W••••• M•••••••••independent RIARAUM $565Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was 0.0% (232 comparable advisers, 2.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (232)2.2% percentile4.7 robust deviationsconfidence 0.85
T• L•••• A•••••• P••••••• L••asset managerRAUM $530Memployee count dropChange between filings
employees (Item 5.A) moved from 32.0 to 9.0 (-72.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (393)0.8% percentile5.8 robust deviationsconfidence 0.85
K• C•••••• M••••••••• L•••independent RIARAUM $374Maccount count collapseChange between filings
accounts (Item 5.F.2.f) moved from 249.0 to 42.0 (-83.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 0.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)0.2% percentile9.9 robust deviationsconfidence 0.85
Z•••••• W••••• P•••••••independent RIARAUM $158Mdiscretionary share shiftChange between filings
discretionary share of RAUM moved from 69.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
M••••••• S••••••••• L••asset managerRAUM $389Mwealth to institutional shiftCombination
filing Mar 31, 2026peers: asset managers, $100M to $500M (1,568)confidence 0.75
S• A•••••• N••••••• L••independent RIARAUM $272MRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $165,157,385 to $271,544,841 (+64.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 97.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)97% percentile4.8 robust deviationsconfidence 0.85
Z••••• W••••• M•••••••••independent RIARAUM $243MHNW share shiftChange between filings
HNW share of RAUM moved from 14.0% to 45.0% between the annual amendments of 2025-04-09 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
F••••••• D••••••••• S•••••••• L••asset managerRAUM $19BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $9,658,729,292 to $18,878,085,695 (+95.0%) between the annual amendments of 2025-04-10 and 2026-03-31; the peer median change was +13.0% (632 comparable advisers, 95.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $5B to $20B (632)95% percentile3.9 robust deviationsconfidence 0.85
S•••••• I••••••••• A•••••••• L••mixed wealthRAUM $8.3Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 96.0% to 68.0% between the annual amendments of 2025-03-31 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (289)confidence 0.85
B••••• N•• L•••• F••• M•••••• L••asset managerRAUM $843Memployee count dropChange between filings
employees (Item 5.A) moved from 2,130.0 to 587.0 (-72.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (393)0.5% percentile5.9 robust deviationsconfidence 0.85
N•••independent RIARAUM $312Mclient mix shiftChange between filings
private-client share of RAUM moved from 86.0% to 58.0% between the annual amendments of 2025-03-29 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85
S• A•••••• N••••••• L••independent RIARAUM $272Maccount count surgeChange between filings
accounts (Item 5.F.2.f) moved from 364.0 to 576.0 (+58.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 96.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)96% percentile6.1 robust deviationsconfidence 0.85
C•••••• P•••• I••••••••• M••••••••• L•institutionalRAUM $512MRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $283,866,958 to $512,361,156 (+80.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +13.0% (63 comparable advisers, 92.0th percentile of changes)
filing Mar 31, 2026peers: institutional managers, $500M to $1B (63)92% percentile3.8 robust deviationsconfidence 0.85
T•••• R••• A•••••••• L••asset managerRAUM $1.4Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 0.0% to 26.0% between the annual amendments of 2025-03-31 and 2026-03-31
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,506)confidence 0.85
T••••• C•••••• M••••••••• L•asset managerRAUM $1.6BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $960,132,364 to $1,620,758,384 (+69.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1364 comparable advisers, 90.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,364)90% percentile2.5 robust deviationsconfidence 0.85
E•••••••independent RIARAUM $1.1Badvisor count dropChange between filings
advisory representatives (Item 5.B.3) moved from 30.0 to 13.0 (-57.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (999 comparable advisers, 1.0th percentile of changes); IAPD lists 13 advisers registered here today
filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (999)0.9% percentile4.6 robust deviationsconfidence 0.85
C••••••• W••••• M••••••••• L••independent RIARAUM $171Maccount count collapseChange between filings
accounts (Item 5.F.2.f) moved from 583.0 to 199.0 (-66.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3683 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,683)1.4% percentile8.0 robust deviationsconfidence 0.85
I••••••••• C•••••• P••••••• P• L••institutionalRAUM $4.9BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $1,803,524,318 to $2,893,123,741 (+60.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was +15.0% (105 comparable advisers, 95.0th percentile of changes)
filing Mar 31, 2026peers: institutional managers, $1B to $5B (105)95% percentile2.4 robust deviationsconfidence 0.85
V•••••• C•••••• M•••••••••otherRAUM $1.0Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 42.0% to 69.0% between the annual amendments of 2025-03-31 and 2026-03-31
filing Mar 31, 2026peers: other advisers, $1B to $5B (248)confidence 0.85
B•••• L•• F•••••••• G••••• L••independent RIARAUM $239Munusually high clients per advisorStatic outlier
private clients per advisor of 291.3 against a peer median of 57.3 (3084 comparable advisers, 99.0th percentile, 6.7 robust deviations)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (3,084)99% percentile6.7 robust deviationsconfidence 0.8
D••••• E•••• A•••• M••••••••• L••independent RIARAUM $27.1Minstitutional to wealth shiftCombination
institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $214,853,890 to $27,133,847, advisors 2 to 1, private clients 219 to 40, offices 0 to 0 (2025-01-31 to 2026-03-31)
filing Mar 31, 2026peers: independent wealth managers, under $100M (707)confidence 0.75
M•••• W••••• M•••••••••independent RIARAUM $547Mclients down average size upCombination
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $452,203,251 to $546,819,721, advisors 7 to 7, private clients 693 to 505, offices 2 to 2 (2025-04-17 to 2026-03-31)
filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,481)confidence 0.75
D• I••••••••• M••••••••• L•asset managerRAUM $618MRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $365,379,043 to $617,591,427 (+69.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +8.0% (671 comparable advisers, 91.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (671)91% percentile2.5 robust deviationsconfidence 0.85
P••••• W••••• M••••••••• L••mixed wealthRAUM $290MRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $165,157,384 to $289,781,487 (+75.0%) between the annual amendments of 2025-03-29 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 98.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)98% percentile5.9 robust deviationsconfidence 0.85
S••••• H••••••• M•••••• ••• L••asset managerRAUM $1.4Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 53.0% to 28.0% between the annual amendments of 2025-03-31 and 2026-03-31
filing Mar 31, 2026peers: asset managers, $1B to $5B (1,506)confidence 0.85
P•••••••• F••• A•••••••• L••asset managerRAUM $780Madvisor count dropChange between filings
advisory representatives (Item 5.B.3) moved from 20.0 to 1.0 (-95.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (9 comparable advisers, 0.0th percentile of changes); IAPD lists 0 advisers registered here today
filing Mar 31, 2026peers: asset managers, $500M to $1B (9)0.0% percentile3.5 robust deviationsconfidence 0.85
V•••••independent RIARAUM $214MRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $135,116,287 to $214,176,901 (+59.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was +15.0% (4546 comparable advisers, 97.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (4,546)97% percentile4.2 robust deviationsconfidence 0.85
V•••••• A•••••••• L••independent RIARAUM $6.7BRAUM up 50 %Change between filings
RAUM (Item 5.F) moved from $3,470,310,102 to $6,665,601,942 (+92.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +18.0% (271 comparable advisers, 96.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $5B to $20B (271)96% percentile4.9 robust deviationsconfidence 0.85
B•••••••• P•••••••asset managerRAUM $681Mprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was 0.0% (489 comparable advisers, 93.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (489)93% percentileconfidence 0.85
L••• C•••••• M••••••••• C••••••• L••asset managerRAUM $360Minstitutional asset share shiftChange between filings
institutional share of RAUM moved from 0.0% to 26.0% between the annual amendments of 2025-04-07 and 2026-03-31
filing Mar 31, 2026peers: asset managers, $100M to $500M (1,568)confidence 0.85
S••••• G••••• L••otherRAUM $531Minstitutional asset share shiftChange between filings
institutional share of RAUM moved from 100.0% to 70.0% between the annual amendments of 2025-04-14 and 2026-03-31
filing Mar 31, 2026peers: other advisers, $500M to $1B (95)confidence 0.85
1• E••• P••••••• L••asset managerRAUM $603Mprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 22.0 to 35.0 (+59.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was 0.0% (489 comparable advisers, 96.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (489)96% percentileconfidence 0.85
M• H••••••• S••••••••• I•••BD affiliatedRAUM $3.2Binstitutional asset share shiftChange between filings
institutional share of RAUM moved from 40.0% to 5.0% between the annual amendments of 2025-03-28 and 2026-03-31
filing Mar 31, 2026peers: affiliated wealth managers, $1B to $5B (56)confidence 0.85
D•• R••• E••••• C•••••• P•••••••• L••asset managerRAUM $673Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (40 comparable advisers, 0.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (40)0.0% percentile4.5 robust deviationsconfidence 0.85
A••• C•••••• M••••••••• L••independent RIARAUM $1.6Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 6.0 to 2.0 (-67.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was 0.0% (379 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (379)1.1% percentile6.3 robust deviationsconfidence 0.85
T••••••••• C•••••• P•••••••• L••asset managerRAUM $3.2Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (139 comparable advisers, 3.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (139)2.9% percentile5.8 robust deviationsconfidence 0.85
C•••••• W••••• A••••••• G••••independent RIARAUM $315Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 7.0 to 2.0 (-71.0%) between the annual amendments of 2025-04-03 and 2026-03-31; the peer median change was 0.0% (450 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (450)1.3% percentileconfidence 0.85
A••• J••••asset managerRAUM $667Mprivate fund count surgeChange between filings
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (489 comparable advisers, 93.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $500M to $1B (489)93% percentileconfidence 0.85
T••• A•••••••• L••asset managerRAUM $6.4Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 8.0 to 4.0 (-50.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (136 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $5B to $20B (136)1.5% percentileconfidence 0.85
A•••• P•••••• W•••••independent RIARAUM $405Mwealth RIA private fund surgeCombination
a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $147,069,600 to $338,130,932, advisors 3 to 5, private clients 85 to 223, offices 4 to 6 (2025-02-04 to 2026-03-31)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.75
F••• B•••• C•••••• M••••••••• L•asset managerRAUM $1.1Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (139 comparable advisers, 3.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (139)2.9% percentile5.8 robust deviationsconfidence 0.85
P••• I••••••••• A•••••••• L•••••asset managerRAUM $1.9Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (139 comparable advisers, 3.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $1B to $5B (139)2.9% percentile5.8 robust deviationsconfidence 0.85
C•••••• R••• A•••• M•••••••••asset managerRAUM $17Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was 0.0% (136 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $5B to $20B (136)1.5% percentileconfidence 0.85
A••••••••• I••••••••• M•••••otherRAUM $90.9Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-02-21 and 2026-03-31; the peer median change was 0.0% (42 comparable advisers, 10.0th percentile of changes)
filing Mar 31, 2026peers: other advisers, under $100M (42)9.8% percentile3.6 robust deviationsconfidence 0.85
G•••••••• F•••••••• G••••• L••independent RIARAUM $495Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was 0.0% (450 comparable advisers, 3.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (450)3.1% percentileconfidence 0.85
C••••••••• A••••••• L••independent RIARAUM $7.2Moffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 4.0 to 1.0 (-75.0%) between the annual amendments of 2025-03-20 and 2026-03-31; the peer median change was 0.0% (34 comparable advisers, 3.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, under $100M (34)3.0% percentileconfidence 0.85
C•••••• I• L•asset managerRAUM $5.1Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 36.0 to 10.0 (-72.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was 0.0% (136 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: asset managers, $5B to $20B (136)0.7% percentileconfidence 0.85
B••• G••••• W••••• A•••••••• I•••independent RIARAUM $1.4Boffice count dropChange between filings
offices other than the principal office (Item 1.F.5) moved from 9.0 to 2.0 (-78.0%) between the annual amendments of 2025-03-21 and 2026-03-31; the peer median change was 0.0% (379 comparable advisers, 1.0th percentile of changes)
filing Mar 31, 2026peers: independent wealth managers, $1B to $5B (379)0.5% percentile7.3 robust deviationsconfidence 0.85
A••••••••• W••••• A••••••• L••independent RIARAUM $180MHNW share shiftChange between filings
HNW share of RAUM moved from 44.0% to 18.0% between the annual amendments of 2025-03-06 and 2026-03-31
filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,683)confidence 0.85

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