New SEC-Registered Advisers, Monthly
Each month the SEC publishes its file of registered investment advisers. Compared with the month before, it shows every adviser that joined the register, who left it, who took over whom and who moved. A firm that has just registered is choosing its custodian, compliance program and technology now, which is when a firm that sells to advisers wants to know it exists.
The October 2026 issue, in numbers
SEC registrations effective August 5, 2026 to October 1, 2026.
- 340 advisers newly registered; 178 already manage $100 million or more, and 146 reported no assets yet.
- 92 wealth managers, 94 private fund managers and 126 internet advisers.
- 148 advisers gone from the register, 5 takeovers and 21 moves to another state.
- Where the new ones are: NY 47, CA 36, FL 29, TX 21, IL 12.
The issue names every one of them, with its SEC numbers, website, assets, clients and staff.
What each issue holds
- Every new registrant, grouped as wealth managers, private fund managers and the rest, largest first, with the date its registration took effect.
- Who left the register, who took over whom (Form ADV Item 4), and who moved their main office.
- A workbook with every field for every firm: SEC numbers, address, website, assets, share managed for individuals, clients, staff, private funds and registration basis, to filter and join to the contact tool you already use.
- Firms only: no individual is named and no contact details are included.
Each month's issue and workbook. Cancel any time; access runs to the end of the month paid for.
A year of issues, paid once, for about the price of ten months of the monthly plan.
For the subscribing company's internal use. Digital Product Terms, including section 3.5 on data feeds.
Source: the U.S. Securities and Exchange Commission's monthly registered-adviser file, public domain. The file does not say why an adviser left the register (withdrawal, a merger into an affiliate, or a move to state registration), and the issue says so rather than guessing. See also the fastest-growing RIAs and the RIA technology data.