Adviser profiles A–Z

Profiles of investment advisers (SEC file numbers 801-) and exempt reporting advisers (802-) that are still in the current Form ADV data and have a Form ADV filing recorded in the last 18 months, 250 to a page, A–Z by legal name. Historical records, state-registered advisers and profiles that have not been updated recently are not listed here.

This list is not a ranking. For a short, selected list, see Adviser profiles.

Page 10 of 95

AUREUS ADVISORS INC.
Exempt reporting adviser

SEC file number

802-135069

Source date

December 2, 2025
AUREUS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-64723

Source date

March 31, 2026
AUROCHS CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137508

Source date

September 14, 2026
AURORA ARCHIPELAGO INC
Exempt reporting adviser

SEC file number

802-135629

Source date

February 20, 2026
AURORA CAPITAL PARTNERS MANAGEMENT VI L.P.
Investment adviser

SEC file number

801-123044

Source date

March 31, 2026
AURORA INVESTMENT COUNSEL
Investment adviser

SEC file number

801-60000

Source date

March 30, 2026
AURORA INVESTMENT MANAGERS, LLC
Investment adviser

SEC file number

801-68844

Source date

February 19, 2026
AURORA MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-130359

Source date

March 20, 2026
AURORA PRIVATE WEALTH, INC.
Investment adviser

SEC file number

801-110498

Source date

July 1, 2026
AURORA RE FUND MANAGER, LLC
Exempt reporting adviser

SEC file number

802-136457

Source date

May 11, 2026
AURUM EP GP LLC
Exempt reporting adviser

SEC file number

802-134123

Source date

July 7, 2025
AURUM PARTNERS LLC
Exempt reporting adviser

SEC file number

802-129070

Source date

March 26, 2026
AURUM VP GP LLC
Exempt reporting adviser

SEC file number

802-136742

Source date

June 15, 2026
AUSBIL INVESTMENT MANAGEMENT LIMITED
Investment adviser

SEC file number

801-118742

Source date

March 25, 2026
AUSDAL FINANCIAL PARTNERS, INC.
Investment adviser

SEC file number

801-69266

Source date

April 13, 2026
AUSPAC INVESTMENT MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-134810

Source date

October 23, 2025
AUSPICIOUS FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-113980

Source date

March 31, 2026
AUSTERRA WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-126050

Source date

March 26, 2026
AUSTIN ASSET MANAGEMENT CO
Investment adviser

SEC file number

801-32217

Source date

February 27, 2026
AUSTIN MONEY MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-118056

Source date

May 26, 2026
AUSTIN WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-117954

Source date

August 4, 2026
AUSTRALIS PARTNERS (ADVISERS) LLC
Investment adviser

SEC file number

801-105468

Source date

March 18, 2026
AUTHENTIC COUNSEL, LLC
Investment adviser

SEC file number

801-127787

Source date

July 7, 2026
AUTHENTIC VENTURES INVESTMENT MANAGER, LLC
Investment adviser

SEC file number

801-130740

Source date

June 12, 2026
AUTHENTIC WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-137125

Source date

September 2, 2026
AUTHENTIKOS WEALTH ADVISORY LLC
Investment adviser

SEC file number

801-119920

Source date

July 2, 2026
AUTILUS PARTNERS LLC
Investment adviser

SEC file number

801-133855

Source date

July 16, 2026
AUTONOMOUS CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-126349

Source date

June 29, 2026
AUTONOMOUS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-134705

Source date

July 20, 2026
AUTONOMY CAPITAL (JERSEY) L.P.
Exempt reporting adviser

SEC file number

802-135223

Source date

March 24, 2026
AUTOPILOT ADVISERS, LLC
Investment adviser

SEC file number

801-130594

Source date

March 31, 2026
AUTOPILOT MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-134776

Source date

August 27, 2026
AUTOTECH MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-107253

Source date

March 30, 2026
AUTUMN GLORY PARTNERS, LLC
Investment adviser

SEC file number

801-110630

Source date

March 26, 2026
AUTUMN LANE ADVISORS, LLC
Investment adviser

SEC file number

801-80627

Source date

February 10, 2026
AUTUMN WIND ASSET MANAGEMENT INC
Exempt reporting adviser

SEC file number

802-130067

Source date

March 3, 2026
AUVRAX TECHNOLOGIES INC
Exempt reporting adviser

SEC file number

802-136014

Source date

March 27, 2026
AUXANO ADVISORS, LLC
Investment adviser

SEC file number

801-68424

Source date

September 9, 2026
AUXIER ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-55757

Source date

March 31, 2026
AUXIN CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-134188

Source date

March 31, 2026
AUXO INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-126298

Source date

March 31, 2026
AV CAPITAL MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-111873

Source date

March 31, 2026
AV COMMONEDGE INC
Exempt reporting adviser

SEC file number

802-137324

Source date

August 18, 2026
AVAII WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113937

Source date

September 10, 2026
AVAIL INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-122134

Source date

March 11, 2026
AVALA GLOBAL LP
Investment adviser

SEC file number

801-126535

Source date

June 10, 2026
AVALAN, LLC
Investment adviser

SEC file number

801-107405

Source date

March 17, 2026
AVALON ADVISORY GROUP LLC
Investment adviser

SEC file number

801-113420

Source date

March 30, 2026
AVALON BIOVENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-122539

Source date

March 30, 2026
AVALON CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-41657

Source date

July 21, 2026
AVALON GLOBAL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-57032

Source date

March 18, 2026
AVALON VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75016

Source date

March 24, 2026
AVALOR INVESTMENT AG
Investment adviser

SEC file number

801-107717

Source date

February 5, 2026
AVANATH CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-80398

Source date

April 28, 2026
AVANCE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-119844

Source date

March 31, 2026
AVANDA INVESTMENT MANAGEMENT PTE LTD
Exempt reporting adviser

SEC file number

802-108950

Source date

September 18, 2026
AVANT BIO LLC
Exempt reporting adviser

SEC file number

802-128768

Source date

March 31, 2026
AVANT BLOCKCHAIN CAPITAL
Exempt reporting adviser

SEC file number

802-131374

Source date

February 9, 2026
AVANT CAPITAL, LLC
Investment adviser

SEC file number

801-123018

Source date

April 7, 2026
AVANT FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-129589

Source date

February 20, 2026
AVANT MANAGEMENT LLC
Investment adviser

SEC file number

801-130101

Source date

April 16, 2026
AVANTAX PLANNING PARTNERS, INC.
Investment adviser

SEC file number

801-50939

Source date

June 18, 2026
AVANTE CAPITAL PARTNERS LP
Exempt reporting adviser

SEC file number

802-133794

Source date

March 30, 2026
AVANTE GLOBAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-137178

Source date

July 29, 2026
AVANTIA INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-132118

Source date

April 3, 2026
AVANTRA FAMILY WEALTH, INC.
Investment adviser

SEC file number

801-113234

Source date

June 17, 2026
AVANTYR CAPITAL PARTNERS, LP
Investment adviser

SEC file number

801-134236

Source date

March 30, 2026
AVANZ CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-111668

Source date

July 14, 2026
AVATAR CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-130825

Source date

March 30, 2026
AVATAR GROWTH CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-126900

Source date

March 23, 2026
AVATHON CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-131200

Source date

March 31, 2026
AVC FUND MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-122647

Source date

July 11, 2025
AVCF LLC
Exempt reporting adviser

SEC file number

802-126931

Source date

March 31, 2026
AVEDON CAPITAL PARTNERS B.V.
Exempt reporting adviser

SEC file number

802-121609

Source date

March 30, 2026
AVEGO MANAGEMENT, LLC
Investment adviser

SEC file number

801-120171

Source date

March 31, 2026
AVENDUS CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-126344

Source date

June 22, 2026
AVENDUS PE INVESTMENT ADVISORS PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-131780

Source date

June 24, 2026
AVENDUS WEALTH MANAGEMENT PRIVATE LIMITED
Investment adviser

SEC file number

801-72264

Source date

July 1, 2026
AVENIDA PARTNERS LLC
Exempt reporting adviser

SEC file number

802-113780

Source date

September 22, 2026
AVENIR CORPORATION
Investment adviser

SEC file number

801-32509

Source date

March 31, 2026
AVENIR MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-119174

Source date

September 14, 2026
AVENTAIL CAPITAL GROUP, LP
Investment adviser

SEC file number

801-121900

Source date

March 30, 2026
AVENTE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-110413

Source date

March 23, 2026
AVENTICUM CAPITAL MANAGEMENT (QATAR) LLC
Exempt reporting adviser

SEC file number

802-107554

Source date

April 29, 2026
AVENTINE FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-134117

Source date

March 19, 2026
AVENTURA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-67322

Source date

March 27, 2026
AVENTURA PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-130986

Source date

May 4, 2026
AVENTUS INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-131660

Source date

March 20, 2026
AVENUE ASIA CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-60414

Source date

May 5, 2026
AVENUE CAPITAL MANAGEMENT II, L.P.
Investment adviser

SEC file number

801-57734

Source date

August 24, 2026
AVENUE EUROPE INTERNATIONAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-63319

Source date

May 5, 2026
AVENUE GROWTH PARTNERS MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-121813

Source date

March 30, 2026
AVERIN CAPITAL LLC
Exempt reporting adviser

SEC file number

802-136086

Source date

June 1, 2026
AVESI PARTNERS LLC
Investment adviser

SEC file number

801-121437

Source date

March 30, 2026
AVESTAR CAPITAL, LLC
Investment adviser

SEC file number

801-110020

Source date

September 24, 2026
AVF MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-115176

Source date

March 31, 2026
AVIANCE CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-68979

Source date

September 3, 2026
AVIATOR FINANCIAL CONSULTING LLC
Investment adviser

SEC file number

801-118369

Source date

March 10, 2026
AVICENE INVESTMENT MANAGEMENT LP
Investment adviser

SEC file number

801-134965

Source date

March 25, 2026
AVID VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-121152

Source date

March 23, 2026
AVID WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-126678

Source date

May 11, 2026
AVIDIAN WEALTH ENTERPRISES, LLC
Investment adviser

SEC file number

801-64386

Source date

June 9, 2026
AVIDITY PARTNERS MANAGEMENT LP
Investment adviser

SEC file number

801-118809

Source date

March 31, 2026
AVILA RE CAPITAL, LLC
Investment adviser

SEC file number

801-133966

Source date

May 13, 2026
AVILA VC, LLC
Exempt reporting adviser

SEC file number

802-132462

Source date

March 30, 2026
AVINOVA CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-137210

Source date

July 31, 2026
AVION WEALTH, LLC
Investment adviser

SEC file number

801-99351

Source date

August 27, 2026
AVIOR WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-69773

Source date

April 3, 2026
AVISE FINANCIAL COOPERATIVE, INC.
Investment adviser

SEC file number

801-131992

Source date

June 22, 2026
AVISEN ADVISORS, LLC
Investment adviser

SEC file number

801-67652

Source date

March 20, 2026
AVISO WEALTH MANAGEMENT
Investment adviser

SEC file number

801-56358

Source date

August 5, 2026
AVISTA CAPITAL HOLDINGS, L.P.
Investment adviser

SEC file number

801-73194

Source date

March 26, 2026
AVITY INVESTMENT MANAGEMENT INC.
Investment adviser

SEC file number

801-6449

Source date

June 25, 2026
AVIVA INVESTORS CANADA INC.
Investment adviser

SEC file number

801-131405

Source date

March 11, 2026
AVIVAR ADVISORS, LLC
Investment adviser

SEC file number

801-106549

Source date

September 15, 2026
AVM CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-134921

Source date

February 23, 2026
AVOCET CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-124866

Source date

May 19, 2026
AVODAH CAPITAL GROUP, LLC
Exempt reporting adviser

SEC file number

802-131880

Source date

February 23, 2026
AVONDALE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-101528

Source date

September 17, 2026
AVONWOOD CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-128634

Source date

April 10, 2026
AVORO CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-74391

Source date

March 5, 2026
AVORY & COMPANY, LLC.
Investment adviser

SEC file number

801-114763

Source date

April 16, 2026
AVOS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-121167

Source date

August 26, 2026
AVP MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-107594

Source date

March 26, 2026
AVRIO WEALTH LLC
Investment adviser

SEC file number

801-134128

Source date

March 25, 2026
AVRIO WEALTH PTE LTD
Investment adviser

SEC file number

801-117905

Source date

April 13, 2026
AVV MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-132830

Source date

May 28, 2026
AW CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-131635

Source date

June 23, 2026
AWAKEN WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-135705

Source date

August 17, 2026
AWANI CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-133792

Source date

August 14, 2026
AWEALTH INTERNATIONAL AG
Investment adviser

SEC file number

801-137252

Source date

September 21, 2026
AWESOME ENABLERS, L.L.C.
Exempt reporting adviser

SEC file number

802-114203

Source date

March 23, 2026
AWH CAPITAL, L.P.
Investment adviser

SEC file number

801-110794

Source date

March 31, 2026
AWH FINANCIAL, LLC
Investment adviser

SEC file number

801-128902

Source date

March 11, 2026
AWM CAPITAL, LLC
Investment adviser

SEC file number

801-114373

Source date

March 13, 2026
AWM FINANCIAL SERVICES INC.
Investment adviser

SEC file number

801-120940

Source date

March 20, 2026
AWM INVESTMENT COMPANY INC
Investment adviser

SEC file number

801-40415

Source date

March 31, 2026
AWR INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-130506

Source date

March 19, 2026
AXA INVESTMENT MANAGERS PARIS
Exempt reporting adviser

SEC file number

802-119059

Source date

July 1, 2025
AXA INVESTMENT MANAGERS UK LIMITED
Exempt reporting adviser

SEC file number

802-125804

Source date

March 30, 2026
AXA INVESTMENT MANAGERS US INC
Investment adviser

SEC file number

801-60374

Source date

July 30, 2026
AXA REAL ESTATE INVESTMENT MANAGERS SGP
Exempt reporting adviser

SEC file number

802-107315

Source date

July 15, 2025
AXAR CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-100391

Source date

June 1, 2026
AXCEL MANAGEMENT A/S
Exempt reporting adviser

SEC file number

802-118753

Source date

March 11, 2026
AXCS INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-135982

Source date

March 25, 2026
AXEBROOK CAPITAL LLP
Exempt reporting adviser

SEC file number

802-124759

Source date

June 26, 2026
AXECAP INVESTMENTS, LLC
Investment adviser

SEC file number

801-126521

Source date

March 31, 2026
AXEVIL CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-126907

Source date

March 31, 2026
AXIA ADVISORY, LLC
Investment adviser

SEC file number

801-42110

Source date

May 7, 2026
AXIA ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-115030

Source date

March 4, 2026
AXIA WEALTH MANAGEMENT INC
Investment adviser

SEC file number

801-136859

Source date

July 14, 2026
AXIAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-132563

Source date

March 27, 2026
AXIAL READE CAPITAL, LP
Investment adviser

SEC file number

801-119030

Source date

March 31, 2026
AXIENT INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-134453

Source date

March 12, 2026
AXIM WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-124695

Source date

July 16, 2026
AXIOM ALTERNATIVE INVESTMENTS SARL
Investment adviser

SEC file number

801-107063

Source date

March 31, 2026
AXIOM ASIA PRIVATE CAPITAL MANAGEMENT SERVICES, LP
Exempt reporting adviser

SEC file number

802-76265

Source date

March 24, 2026
AXIOM EQUITY 2 GP LTD.
Exempt reporting adviser

SEC file number

802-136639

Source date

June 2, 2026
AXIOM EQUITY CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-136638

Source date

June 2, 2026
AXIOM FINANCIAL STRATEGIES GROUP, LLC
Investment adviser

SEC file number

801-117878

Source date

March 31, 2026
AXIOM INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-67131

Source date

April 15, 2026
AXIOM INVESTORS LLC
Investment adviser

SEC file number

801-56651

Source date

March 27, 2026
AXIOM WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-132515

Source date

July 17, 2026
AXIOMQED LLC
Exempt reporting adviser

SEC file number

802-134315

Source date

March 3, 2026
AXIS WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-120324

Source date

March 26, 2026
AXIUM CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-134228

Source date

March 31, 2026
AXIUM INFRASTRUCTURE INC.
Investment adviser

SEC file number

801-108929

Source date

March 30, 2026
AXIUM INFRASTRUCTURE US INC.
Investment adviser

SEC file number

801-107672

Source date

March 30, 2026
AXIUS ADVISORS LLC
Investment adviser

SEC file number

801-130416

Source date

March 5, 2026
AXON CAPITAL LP
Investment adviser

SEC file number

801-72650

Source date

March 31, 2026
AXONIC CAPITAL LLC
Investment adviser

SEC file number

801-73132

Source date

March 30, 2026
AXOS INVEST, INC
Investment adviser

SEC file number

801-79951

Source date

March 27, 2026
AXQ CAPITAL, LP
Investment adviser

SEC file number

801-123549

Source date

March 12, 2026
AXS INVESTMENTS LLC
Investment adviser

SEC file number

801-117457

Source date

February 11, 2026
AXXCESS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-76763

Source date

March 31, 2026
AXXES ADVISORS I LLC
Investment adviser

SEC file number

801-131088

Source date

September 23, 2026
AXXES ADVISORS LLC
Investment adviser

SEC file number

801-126433

Source date

September 23, 2026
AXXETS WEALTH MANAGEMENT USA LLC
Investment adviser

SEC file number

801-135667

Source date

July 20, 2026
AYAL CAPITAL ADVISORS LIMITED
Exempt reporting adviser

SEC file number

802-78881

Source date

July 2, 2026
AYM CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-76512

Source date

March 25, 2026
AYRSHIRE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-114750

Source date

February 10, 2026
AYRTON CAPITAL LLC
Investment adviser

SEC file number

801-126270

Source date

April 30, 2026
AZARIAS CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-123447

Source date

June 9, 2026
AZIMUT INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-64054

Source date

May 12, 2026
AZIMUTH CAPITAL INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-123448

Source date

March 31, 2026
AZIMUTH CAPITAL MANAGEMENT IV LTD.
Exempt reporting adviser

SEC file number

802-112904

Source date

June 9, 2025
AZIMUTH CAPITAL MANAGEMENT V LTD.
Exempt reporting adviser

SEC file number

802-127618

Source date

May 5, 2025
AZIMUTH ENERGY PARTNERS GP III LP
Exempt reporting adviser

SEC file number

802-76351

Source date

May 5, 2025
AZLIN CONSULTANTS PVT. LTD.
Exempt reporting adviser

SEC file number

802-107991

Source date

June 27, 2025
AZOLLA MANAGEMENT COMPANY, LP
Exempt reporting adviser

SEC file number

802-123096

Source date

March 25, 2026
AZORA CAPITAL LP
Investment adviser

SEC file number

801-110031

Source date

March 27, 2026
AZORIA CAPITAL, INC.
Investment adviser

SEC file number

801-132033

Source date

January 6, 2026
AZTLAN EQUITY MANAGEMENT, LLC
Investment adviser

SEC file number

801-121682

Source date

March 31, 2026
AZURA PARTNERS US LLC
Investment adviser

SEC file number

801-129204

Source date

July 30, 2026
AZURE CAPITAL PARTNERS LP
Exempt reporting adviser

SEC file number

802-76410

Source date

February 23, 2026
AZURE91 MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-121277

Source date

March 25, 2026
AZURITE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-119544

Source date

March 24, 2026
AZZAD ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-57871

Source date

January 30, 2026
B CAPITAL GROUP MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-110185

Source date

May 29, 2026
B&D WHITE CAPITAL COMPANY, LLC
Investment adviser

SEC file number

801-116701

Source date

March 23, 2026
B&T CAPITAL MANAGEMENT, INCORPORATED
Investment adviser

SEC file number

801-61613

Source date

March 31, 2026
B. RILEY VENTURE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-131796

Source date

May 11, 2026
B. RILEY WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-64837

Source date

March 31, 2026
B. RILEY WEALTH PRIVATE SHARES, LLC
Investment adviser

SEC file number

801-122228

Source date

March 31, 2026
B.A. ROBERTS FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-112254

Source date

March 25, 2026
B.A. SCHROCK WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-127681

Source date

March 11, 2026
B.B. GRAHAM & COMPANY, INC.
Investment adviser

SEC file number

801-106968

Source date

March 23, 2026
B.O.S.S. RETIREMENT ADVISORS, LLC
Investment adviser

SEC file number

801-117974

Source date

August 13, 2026
B.U. ITALY S.R.L.
Exempt reporting adviser

SEC file number

802-133817

Source date

March 27, 2026
BABB WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-125695

Source date

September 24, 2026
BAC CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-60832

Source date

August 5, 2026
BACCHUS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75023

Source date

May 1, 2026
BACH OPTION LIMITED
Exempt reporting adviser

SEC file number

802-106990

Source date

March 18, 2026
BACK BAY FINANCIAL PLANNING & INVESTMENTS, LLC
Investment adviser

SEC file number

801-137070

Source date

August 31, 2026
BACK END CAPITAL ADVISORS LLC
Exempt reporting adviser

SEC file number

802-132531

Source date

March 30, 2026
BACK NINE PARTNERS, LP
Exempt reporting adviser

SEC file number

802-137521

Source date

September 14, 2026
BACKBONE PLANNING PARTNERS LLC
Investment adviser

SEC file number

801-128212

Source date

June 25, 2026
BACKCAST PARTNERS MANAGEMENT LLC
Investment adviser

SEC file number

801-114757

Source date

March 31, 2026
BACKFUTURE VENTURES, LLC
Exempt reporting adviser

SEC file number

802-128622

Source date

February 1, 2026
BADGLEY PHELPS WEALTH MANAGERS, LLC
Investment adviser

SEC file number

801-121830

Source date

March 31, 2026
BADR INVESTMENTS TX, LLC
Exempt reporting adviser

SEC file number

802-127425

Source date

January 31, 2026
BAER INVESTMENT ADVISORY LLC
Investment adviser

SEC file number

801-132149

Source date

March 30, 2026
BAFFIN ADVISORS LLC
Investment adviser

SEC file number

801-70528

Source date

March 25, 2026
BAHL & GAYNOR LLC
Investment adviser

SEC file number

801-36951

Source date

July 9, 2026
BAI CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-120492

Source date

March 30, 2026
BAIL CAPITAL LLC
Exempt reporting adviser

SEC file number

802-114747

Source date

March 26, 2026
BAILARD, INC.
Investment adviser

SEC file number

801-8562

Source date

September 17, 2026
BAILEY MANAGEMENT SERVICES, LLC
Exempt reporting adviser

SEC file number

802-129624

Source date

April 14, 2026
BAILLIE GIFFORD & CO LIMITED
Exempt reporting adviser

SEC file number

802-116796

Source date

May 29, 2026
BAILLIE GIFFORD INTERNATIONAL LLC
Investment adviser

SEC file number

801-118239

Source date

June 29, 2026
BAILLIE GIFFORD OVERSEAS LTD
Investment adviser

SEC file number

801-21051

Source date

July 13, 2026
BAIN CAPITAL ASSET MANAGEMENT, LP
Investment adviser

SEC file number

801-107144

Source date

March 31, 2026
BAIN CAPITAL CREDIT, LP
Investment adviser

SEC file number

801-69068

Source date

August 17, 2026
BAIN CAPITAL INSURANCE SOLUTIONS, LP
Investment adviser

SEC file number

801-120410

Source date

March 31, 2026
BAIN CAPITAL INVESTMENTS (EUROPE) LIMITED
Exempt reporting adviser

SEC file number

802-114675

Source date

March 31, 2026
BAIN CAPITAL INVESTMENTS (IRELAND) LIMITED
Exempt reporting adviser

SEC file number

802-126444

Source date

March 31, 2026
BAIN CAPITAL INVESTMENTS (LUXEMBOURG) S.A.R.L.
Exempt reporting adviser

SEC file number

802-119929

Source date

March 31, 2026
BAIN CAPITAL PARTNERSHIP STRATEGIES, LP
Investment adviser

SEC file number

801-113641

Source date

March 31, 2026
BAIN CAPITAL PRIVATE EQUITY (EUROPE), LLP
Exempt reporting adviser

SEC file number

802-78127

Source date

March 31, 2026
BAIN CAPITAL PRIVATE EQUITY, LP
Investment adviser

SEC file number

801-69069

Source date

March 31, 2026
BAIN CAPITAL PUBLIC EQUITY, LP
Investment adviser

SEC file number

801-69070

Source date

March 31, 2026
BAIN CAPITAL REAL ESTATE, LP
Investment adviser

SEC file number

801-112317

Source date

June 9, 2026
BAIN CAPITAL VENTURES, LP
Investment adviser

SEC file number

801-69071

Source date

March 31, 2026
BAINBRIDGE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135518

Source date

July 9, 2026
BAINBRIDGE PARTNERS LLP
Investment adviser

SEC file number

801-127728

Source date

June 26, 2026
BAIRD CAPITAL MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-126808

Source date

September 4, 2026
BAIRD CAPITAL PARTNERS EUROPE LIMITED
Exempt reporting adviser

SEC file number

802-78546

Source date

June 24, 2026
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
Investment adviser

SEC file number

801-105476

Source date

September 4, 2026
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC
Investment adviser

SEC file number

801-113194

Source date

September 4, 2026
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-128232

Source date

September 4, 2026