We are pleased to present the Monthly Report of Recently Registered RIAs - November 2025. We are continuously blown away by the large number of newly independent RIAs and investment firms from the SEC report with a total of 114.
As part of our monthly process, our data team reviewed and scrubbed this month’s raw file of new filings, identifying 50 new wealth manager RIAs and 11 new investment firm RIAs. We then researched the appropriate contacts and related information before uploading everything to Dakota Marketplace.
November 2025 brought a noticeable step down in new SEC registrations compared to the previous months. The month saw 50 new RIAs, slightly above September’s 44 RIAs but still short of August’s 63. Investment activity slowed down more clearly, with just 11 firms launching in November versus 26 and 36 in the previous months. Overall, the numbers suggest that RIA formation is holding reasonably steady, while investment firm launches have cooled more sharply as we move toward year end. Even so, the steady flow of new entrants shows that interest in starting advisory businesses remains intact despite the shifting environment.
In this article we’re giving you 10 noteworthy and newly independent RIAs that we’ve added to our marketplace.
To view all newly independent wealth management RIAs and key contact information, book a demo of Dakota Marketplace here.
Top 10 RIAs & Investment Firms Activity from November 2025
1. Neu Wealth Group
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AUM: $205M
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Metro Area: Columbus, OH
Neu Wealth Group is a boutique, founder-led wealth management and financial planning practice serving the Columbus / New Albany area. The firm provides comprehensive financial planning, retirement planning, lifestyle planning, investing, college planning, estate management, insurance, and tax management under the leadership of Founder & CEO Justin Neuwirt.
2. Eddie Patel, Inc.
- AUM: $129M
- Metro Area: Chicago, IL
Eddie Patel, Inc. operates as a Registered Investment Advisor (RIA) based in Chicago, IL. The firm delivers comprehensive financial and tax advisory services. It emphasizes a holistic approach to integrate clients' financial portfolios, tax strategies, and insurance needs, ensuring that financial planning is tailored to individual circumstances. Eddie Patel, Inc. employs an integrated three-step process, Aggregate, Deliberate, and Decide, to provide its advisory platform.
3. Agemy Wealth Advisors, LLC
- AUM: $114M
- Metro Area: Denver, CO
Agemy Wealth Advisors, LLC is an SEC‑registered investment advisory entity affiliated with Agemy Financial Strategies, Inc., founded in 1990 and operating as a privately held, family‑led RIA. The firm positions itself as a retirement income specialist serving pre‑retirees, retirees, high‑net‑worth individuals, and multigenerational families with a fiduciary, income‑first advisory model focused on dependable retirement cashflow and legacy planning.
4. Passport Wealth Management
- AUM: $112M
- Metro Area: Charlotte, NC
Passport Wealth Management is a fee-only, planning-led RIA serving the Charlotte metro area. Passport offers holistic financial planning and investment management services with a focus on retirement planning, tax-efficient investing, ESG investing and evidence-based portfolio management for working professionals, entrepreneurs, families and retirees.
5. Fullerton Advisors, LLC
- AUM: $108M
- Metro Area: San Francisco, CA
Fullerton Advisors, LLC is an independent, owner‑managed, fee‑only fiduciary Registered Investment Adviser founded by Nicholas Fullerton in 2008. The firm provides comprehensive financial planning and investment management for individuals, families, trusts, foundations and corporations and implements client portfolios using institutional‑class mutual funds and ETFs.
6. Bondurant Investment Advisory
- AUM: $105M
- Metro Area: Chicago, IL
Bondurant Investment Advisory, LLC operates as a RIA with a focus on fixed-income investment strategies. It specializes in providing portfolio management centered on bonds and conservative income strategies aimed at preserving capital and managing risk. The firm emphasizes transparency, disciplined analysis, and personalized client relationships tailored to long-term financial objectives.
7. Sikorski Wealth Management
- AUM: $103M
- Metro Area: San Diego, CA
Sikorski Wealth Management is an independent, owner-operated Registered Investment Advisor based in San Diego, California, founded in June 2021 by Jesse Sikorski. The firm provides investment management and comprehensive financial planning for individuals and families, with a focus on retirement planning, estate planning and tax‑efficient portfolio design.
8. Horizon Wealth
- AUM: $101M
- Metro Area: Denver, CO
Horizon Wealth is a boutique, independent wealth management firm. The firm focuses on retirement-oriented, tax-efficient wealth management and wealth transfer planning for affluent individuals, business owners and families. Horizon Wealth offers comprehensive retirement planning, income and tax‑efficient distribution strategies, and branded advisory frameworks including Market Guard® and Retirement Cornerstones.
9. Butterworth Financial
- AUM: $100M
- Metro Area: Denver, CO
Butterworth Financial LLC operates as a RIA, providing client-focused investment advisory services. Founded by Certified Financial Planner™ Mark S. Butterworth, the firm specializes in personalized financial planning, retirement strategies, college savings guidance, and estate planning for individuals, families, and small business owners.
10. Blanche Park Capital
- AUM: $100M
- Metro Area: Miami, FL
Blanche Park Capital is a Private Credit focused investment firm specializing in credit and quasi-credit markets. The firm provides tailored credit investment solutions that emphasize debt investments, structured credit, and credit market opportunities for both institutional and private clients.
To view all wealth management RIAs in Dakota Marketplace and access key contact information, book a demo here!
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