Recently funded company leads
A private company reports a fresh raise in a public filing.
$1,542,276,069
reported raised in qualifying filings. United States.
New RIA leads from newly registered advisory firms
A new investment advisory firm's registration takes effect.
463
advisory firms registered
- Where
- United States, 90 days
- Same pull
- $68.5B already reported under management by 306 of them
- Pulled
The moment
The quarter after an advisory firm registers is when it picks its custodian, its compliance program, its tech stack, its website and its insurance. Those choices don't change for years.
The registration date is public. The Counting Frame tracks every firm whose registration took effect in the window and adds what the firm reported on its own filing: assets under management, the services and client types it ticked, and how many offices it runs.
Who it's for
- Custodians and clearing platforms
- Compliance consultants and outsourced CCOs
- Portfolio, CRM, planning and reporting software
- Advisor marketing agencies and website studios
- E&O and cyber insurance brokers
- Fund administrators, auditors and fund counsel
- Recruiters and paraplanning services
What you get
- Every advisory firm registered in your window
- Assets under management, where the firm has reported them
- The services and client types it ticked on its filing
- Firms registered ahead of their assets, with nothing reported yet, flagged
- Household names and global managers set aside
The outcome
Your custodial and compliance teams reach a new firm in its first quarter, while the stack is still being chosen. Firms that haven't reported assets yet are the earliest calls you can make.
Questions buyers ask
- What does registered ahead of its assets mean?
- A new firm can register federally before it reaches the asset threshold by stating it expects to get there within 120 days. It can take on clients and hasn't built its stack yet. In the last pull, 143 of the 463 were registered that way.
- Do you show a firm's past run-ins with regulators?
- No. This machine is about new firms setting up, and we deliberately leave that part of the record alone.
- Where do the asset numbers come from?
- They're the firm's own answers on its latest filing, dated. Many new firms leave them blank by design, and the list says so.
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Four ways to work with the Index
- 1
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- 2
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- 3
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- 4
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