SEC ADV (historical AUM trajectory)

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The same SEC ADV Part 1 data, but as a series of yearly snapshots reaching back to 2020. Lining up each year's regulatory AUM and advisory headcount produces a multi-year trajectory for every firm — the clearest signal of whether a book is growing, treading water, or quietly shrinking. A firm whose nominal AUM is flat or down while markets compounded is, more often than not, a motivated seller.

Fields it produces (7)

aum_trajectory_5yaum_5y_change_pctaum_cagr_5yaum_trendemployee_trajectory_5yemployee_5y_change_pctemployee_trend

What this source actually pulls

6 examples

LESKO SECURITIES, INC.

firm · 10091 · VESTAL, NY

7 fields

aum 5y change pct

511

aum cagr 5y

33.1

aum trajectory 5y

'20 $119M → '21 $185M → '22 $254M → '23 $333M → '25 $597M → '26 $729M

aum trend

growing

employee 5y change pct

employee trajectory 5y

'20 8 adv → '21 11 adv → '22 9 adv → '23 12 adv → '25 12 adv → '26 12 adv

employee trend

growing

MIDWESTERN SECURITIES TRADING COMPANY, LLC

firm · 101080 · EAST PEORIA, IL

7 fields

aum 5y change pct

268

aum cagr 5y

22.8

aum trajectory 5y

'20 $540M → '21 $699M → '22 $834M → '23 $1,063M → '25 $1,627M → '26 $1,985M

aum trend

growing

employee 5y change pct

employee trajectory 5y

'20 39 adv → '21 30 adv → '22 29 adv → '23 38 adv → '25 41 adv → '26 43 adv

employee trend

growing

PFS INVESTMENTS INC.

firm · 10111 · DULUTH, GA

7 fields

aum 5y change pct

407

aum cagr 5y

29.2

aum trajectory 5y

'20 $3,066M → '21 $4,076M → '22 $5,090M → '23 $7,114M → '25 $11,156M → '26 $15,536M

aum trend

growing

employee 5y change pct

employee trajectory 5y

'20 3540 adv → '21 3661 adv → '22 3752 adv → '23 3352 adv → '25 3732 adv → '26 3959 adv

employee trend

growing

ALEXANDER INVESTMENT SERVICES CO.

firm · 1037 · LOUISVILLE, KY

7 fields

aum 5y change pct

aum cagr 5y

5.3

aum trajectory 5y

'20 $357M → '21 $393M → '22 $524M → '23 $513M → '25 $579M → '26 $496M

aum trend

growing

employee 5y change pct

-23

employee trajectory 5y

'20 13 adv → '21 12 adv → '22 12 adv → '23 12 adv → '25 12 adv → '26 10 adv

employee trend

declining

RBC SECURITIES, INC.

firm · 103705 · LOS ANGELES, CA

7 fields

aum 5y change pct

aum cagr 5y

5.3

aum trajectory 5y

'20 $1,093M → '21 $1,388M → '22 $1,619M → '23 $1,619M → '25 $1,591M → '26 $1,515M

aum trend

growing

employee 5y change pct

417

employee trajectory 5y

'20 24 adv → '21 36 adv → '22 35 adv → '23 35 adv → '25 37 adv → '26 124 adv

employee trend

growing

GAGNON SECURITIES, LLC

firm · 103727 · NEW YORK, NY

7 fields

aum 5y change pct

aum cagr 5y

7.2

aum trajectory 5y

'20 $340M → '21 $388M → '22 $710M → '23 $710M → '25 $545M → '26 $530M

aum trend

growing

employee 5y change pct

-29

employee trajectory 5y

'20 14 adv → '21 11 adv → '22 12 adv → '23 12 adv → '25 10 adv → '26 10 adv

employee trend

declining