[Research](/research) / NewRiaPulse

# New SEC-Registered Investment Advisers (RIAs) with AUM & Location: 2026 statistics from 1,450 public records

**New York leads with 178 of 1,450 records (12.3%), ahead of California with 148 (10.2%) (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)).**

Data as of 2026-10-28 · Compiled by Zalwin from SEC monthly roster of registered investment advisers (Form ADV data) Copy citation

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## Key findings

- Zalwin's NewRiaPulse dataset holds 1,450 NewRiaPulse records dated 2025-09-23 to 2026-10-01 (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-1)
- New York leads with 178 of 1,450 records (12.3%), ahead of California with 148 (10.2%) (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-2)
- The most common registration status is Approved: 1,231 of 1,450 records (84.9%) (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-3)
- Across 1,149 records with a stated amount, the total is 11,729,103 and the median is 134; the largest is 8,436,182 (Vanguard Capital Management, LLC) (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-4)
- The top 10% of records by amount (115 of 1,149) account for 98.5% of the total (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-5)
- In New York, the leading registration status is Approved with 144 of 178 records (80.9%) (as of 2026-10-28; source: SEC monthly roster of registered investment advisers (Form ADV data)). [#](#finding-6)

## NewRiaPulse records by state

| Group | Records | Share |
|---|---|---|
| New York | 178 | 12.3% |
| California | 148 | 10.2% |
| Florida | 113 | 7.8% |
| Texas | 86 | 5.9% |
| Illinois | 57 | 3.9% |
| Massachusetts | 38 | 2.6% |
| Ohio | 37 | 2.6% |
| New Jersey | 34 | 2.3% |
| Connecticut | 32 | 2.2% |
| Pennsylvania | 30 | 2.1% |
| Colorado | 29 | 2.0% |
| Michigan | 27 | 1.9% |
| Arizona | 26 | 1.8% |
| Georgia | 25 | 1.7% |
| North Carolina | 22 | 1.5% |

## NewRiaPulse records by registration status

| Group | Records | Share |
|---|---|---|
| Approved | 1,231 | 84.9% |
| In 120-day approval window | 219 | 15.1% |

## Methodology and data provenance

- Sample: 1,450 public records dated 2025-09-23 to 2026-10-01; illustrative samples excluded.

- Source: SEC monthly roster of registered investment advisers (Form ADV data). Refreshed automatically about every 168 hours; figures above are as of 2026-10-28.

- Shares are of all records in the dataset; totals and medians use only records with a stated amount.

- Organization-level data only. Informational; verify individual records at the official source.

### Cite this study

Zalwin Research, "NewRiaPulse statistics" (data as of 2026-10-28), https://zalwin.com/research/newriapulse

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