New RIAs Key

  1. An asterisk (*) following the name of a firm in this column denotes a Dually Registered RIA (as opposed to the absence of an asterisk, which denotes a Breakaway RIA).
  2. A plus sign (+) following the name of a firm in this column denotes a New RIA Affiliated with Existing RIA (as opposed to the absence of a plus sign, which denotes a New RIA Established by IAR).
  3. Firm numbers that appear in bold signify that the firm appears in this section of the report. Firm numbers that are not embellished signify a secondary classification for that firm.




ClassificationDefinitionToday's Firms
New RIA• A RIA that has been registered with the SEC in the past year that is not affiliated with another RIA or Broker-Dealer.1-5
Breakaway RIA• A newly registered RIA with at least one Principal that is currently or has been a Registered Rep within the past twelve months at a Broker-Dealer that is not affiliated with the RIA.6-9, 11
Dually Registered RIA• A newly registered RIA: 1. That is owned/controlled by an established Broker/Dealer or 2. With at least one Principal that is a Registered Rep at a Broker/Dealer that is affiliated with the new RIA.(None)
New RIA Established by IAR• A newly registered RIA with at least one Principal that is currently or has been an Investment Adviser Representative (IAR) within the past twelve months at a RIA that is not affiliated with the newly registered RIA. • RIAs that meet these criteria might also be defined as a “Breakaway RIA” or a “Dually Registered RIA,” but will appear on the report exclusively in this category. Please see "Today's Firms" to obtain secondary classification information. 6-10
New RIA Affiliated with Existing RIA• A newly registered RIA: 1. That is owned/controlled by another established RIA or 2. With at least one Principal that is an owner/control person of another RIA. • RIAs that meet these criteria might also be defined as a “Breakaway RIA” or a “Dually Registered RIA” but will appear on the report exclusively in this category. Please see "Today's Firms" to obtain secondary classification information. 11, 12


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