Firms forming nowHow these were chosenEvery row is a newly filed investment adviser whose Schedule A lists, as a direct owner, an advisor registered somewhere in the last six months. The owner is joined on their CRD number, never on a name.The stage is what the SEC’s monthly roster says about the firm today. A firm that withdrew, or moved to a state after filing, is not shown. Nothing here is a forecast: the firm exists, and the list is dated by its first filing.
Advisory firms whose first Form ADV or brochure arrived in the last six months, with the advisors who own them and where each is registered today. Between the first filing and approval a new firm picks its custodian, its compliance program, its technology and its insurance, and often takes a transition loan; that window is what this page is for. For a recruiter these advisors have already decided: who may move next is the recruiting page.
- Filed, not on the SEC roster yet
- The firm's first filing or brochure is in and it is not on the SEC's monthly roster yet: nothing has been chosen.
- Registered under the 120-day rule
- Registered on the expectation of $100M within 120 days, which the assets moving over have to reach; the clock is the sales window.
- State registered
- Registered with its state, under the SEC threshold.
- SEC approved
- Fully registered. The custodian is usually settled; the rest of the stack often is not.
67 firms, 50 still between filing and approval
Open windows first, oldest first, because the oldest window closes soonest. Approved firms follow, newest first.
| New firm | Stage | Founders, and where they are registered today | First filed | Assets |
|---|---|---|---|---|
| Fxify Inc | Filed, not on the SEC roster yet filed 153 days ago |
| Apr 29, 2026 | |
| Fratarcangeli Wealth Management, LLC | Filed, not on the SEC roster yet filed 138 days ago |
| May 14, 2026 | |
| Portafolio Advisory Solutions LLC | Filed, not on the SEC roster yet filed 132 days ago |
| May 20, 2026 | |
| Vestly Advisory | Filed, not on the SEC roster yet filed 110 days ago |
| Jun 11, 2026 | |
| Apex Wealth Advisors, LLC | Filed, not on the SEC roster yet filed 88 days ago |
| Jul 3, 2026 |
+62 more firms are forming now
Each with its roster stage, its founders and where each is registered today, the first filing date and the city.
Every name, record and relationship behind this count, with the source on each.
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