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 18 of 95

CAPITAL FUND MANAGEMENT S.A.
Investment adviser

SEC file number

801-61960

Source date

March 26, 2026
CAPITAL GAINS INC
Investment adviser

SEC file number

801-41787

Source date

January 28, 2026
CAPITAL GENERATION PARTNERS LLP
Investment adviser

SEC file number

801-107172

Source date

May 5, 2026
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Investment adviser

SEC file number

801-121267

Source date

September 25, 2026
CAPITAL IDEAS, LLC
Investment adviser

SEC file number

801-66816

Source date

March 30, 2026
CAPITAL IMPACT ADVISORS, LLC
Investment adviser

SEC file number

801-78345

Source date

March 31, 2026
CAPITAL INNOVATIONS, LLC
Investment adviser

SEC file number

801-72322

Source date

March 31, 2026
CAPITAL INSIGHTS GROUP OF WNY, LLC.
Investment adviser

SEC file number

801-128310

Source date

April 1, 2026
CAPITAL INTERNATIONAL, INC.
Investment adviser

SEC file number

801-32104

Source date

September 25, 2026
CAPITAL INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-110008

Source date

June 11, 2026
CAPITAL INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-72532

Source date

August 6, 2026
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-69846

Source date

March 12, 2026
CAPITAL INVESTMENT COUNSEL INC
Investment adviser

SEC file number

801-20824

Source date

April 29, 2026
CAPITAL INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-128941

Source date

March 30, 2026
CAPITAL INVESTMENT MANAGEMENT, INC
Investment adviser

SEC file number

801-76972

Source date

April 16, 2026
CAPITAL INVESTMENT SERVICES OF AMERICA INC
Investment adviser

SEC file number

801-15052

Source date

December 16, 2025
CAPITAL IP INVESTMENT PARTNERS LP
Investment adviser

SEC file number

801-130179

Source date

March 27, 2026
CAPITAL K, LLC
Exempt reporting adviser

SEC file number

802-129873

Source date

March 18, 2026
CAPITAL MANAGEMENT ADVISOR GROUP, LLC
Investment adviser

SEC file number

801-117169

Source date

April 16, 2026
CAPITAL MANAGEMENT ADVISORS INC
Investment adviser

SEC file number

801-40001

Source date

December 12, 2025
CAPITAL MANAGEMENT ASSOCIATES INC
Investment adviser

SEC file number

801-35808

Source date

March 17, 2026
CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-55753

Source date

March 16, 2026
CAPITAL MANAGEMENT SERVICES, INC.
Investment adviser

SEC file number

801-117988

Source date

March 19, 2026
CAPITAL MARKET SECURITIES, INC.
Exempt reporting adviser

SEC file number

802-123567

Source date

May 21, 2026
CAPITAL MARKETS IQ, LLC
Investment adviser

SEC file number

801-69992

Source date

July 28, 2026
CAPITAL MIDWEST ADVISORS II, LLC
Exempt reporting adviser

SEC file number

802-76824

Source date

February 17, 2026
CAPITAL MIDWEST ADVISORS III, LLC
Exempt reporting adviser

SEC file number

802-107436

Source date

February 12, 2026
CAPITAL PLANNING, LLC
Investment adviser

SEC file number

801-79115

Source date

March 31, 2026
CAPITAL PRESERVATION PARTNERS INC.
Investment adviser

SEC file number

801-69807

Source date

March 30, 2026
CAPITAL Q MANAGEMENT LLC
Investment adviser

SEC file number

801-135011

Source date

February 24, 2026
CAPITAL RESEARCH & CONSULTING LLC
Investment adviser

SEC file number

801-56356

Source date

June 22, 2026
CAPITAL RESEARCH AND MANAGEMENT COMPANY
Investment adviser

SEC file number

801-8055

Source date

September 25, 2026
CAPITAL RESEARCH COMPANY
Investment adviser

SEC file number

801-54942

Source date

September 25, 2026
CAPITAL RESOURCE MANAGEMENT INC
Investment adviser

SEC file number

801-38549

Source date

March 24, 2026
CAPITAL RETURNS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-117613

Source date

March 23, 2026
CAPITAL SOLUTIONS, INC.
Exempt reporting adviser

SEC file number

802-118624

Source date

March 27, 2026
CAPITAL SQUARE PARTNERS MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-137592

Source date

September 24, 2026
CAPITAL SQUARE, LLC
Investment adviser

SEC file number

801-108796

Source date

August 15, 2026
CAPITAL SQUARED FINANCIAL LLC
Investment adviser

SEC file number

801-131530

Source date

February 10, 2026
CAPITAL TODAY CHINA GROWTH MANAGEMENT II LIMITED
Exempt reporting adviser

SEC file number

802-107601

Source date

March 17, 2026
CAPITAL TODAY RIVER MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-114716

Source date

March 17, 2026
CAPITAL VIEW WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-62003

Source date

March 3, 2026
CAPITAL WEALTH ADVISORS, LTD.
Investment adviser

SEC file number

801-79379

Source date

March 25, 2026
CAPITAL WEALTH ALLIANCE, LLC
Investment adviser

SEC file number

801-113992

Source date

August 1, 2026
CAPITAL WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-76539

Source date

July 8, 2026
CAPITAL WEALTH PLANNING, LLC
Investment adviser

SEC file number

801-70333

Source date

March 20, 2026
CAPITAL WEALTH, LLC
Investment adviser

SEC file number

801-137067

Source date

September 11, 2026
CAPITAL WEST PARTNERS, LLC
Investment adviser

SEC file number

801-62859

Source date

January 13, 2026
CAPITAL Z ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-79988

Source date

March 11, 2026
CAPITAL Z INVESTMENT PARTNERS (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-74990

Source date

March 6, 2026
CAPITAL Z PARTNERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-73381

Source date

March 25, 2026
CAPITALA PRIVATE ADVISORS, LLC
Investment adviser

SEC file number

801-107897

Source date

March 27, 2026
CAPITALIA (SUISSE)
Investment adviser

SEC file number

801-76691

Source date

February 20, 2026
CAPITALINE ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-125786

Source date

March 12, 2026
CAPITALMATH LTD
Exempt reporting adviser

SEC file number

802-134109

Source date

July 4, 2025
CAPITALWORKS ADVISORS LLP
Exempt reporting adviser

SEC file number

802-114504

Source date

June 24, 2026
CAPITALWORKS MANAGEMENT (GUERNSEY) LIMITED
Exempt reporting adviser

SEC file number

802-126292

Source date

June 25, 2026
CAPITALWORKS PRIVATE EQUITY ADVISOR LIMITED
Exempt reporting adviser

SEC file number

802-78484

Source date

June 30, 2026
CAPITALWORKS PRIVATE EQUITY ADVISOR PROPRIETARY LIMITED
Exempt reporting adviser

SEC file number

802-114484

Source date

July 2, 2026
CAPITALWORKS, LLC
Investment adviser

SEC file number

801-110345

Source date

March 31, 2026
CAPITALX, LLC
Exempt reporting adviser

SEC file number

802-130102

Source date

March 25, 2026
CAPITOL FAMILY OFFICE, INC.
Investment adviser

SEC file number

801-120221

Source date

March 25, 2026
CAPITOL FINANCIAL CONSULTANTS, INC.
Investment adviser

SEC file number

801-31757

Source date

March 25, 2026
CAPITOL MERIDIAN PARTNERS LP
Investment adviser

SEC file number

801-125729

Source date

April 30, 2026
CAPITOL PRIVATE WEALTH GROUP LLC
Investment adviser

SEC file number

801-111009

Source date

April 20, 2026
CAPITOL SECURITIES MANAGEMENT, INC.
Investment adviser

SEC file number

801-41033

Source date

March 31, 2026
CAPITOL WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-137133

Source date

August 7, 2026
CAPITOLIS ADVISORS LLC
Investment adviser

SEC file number

801-122060

Source date

September 21, 2026
CAPITON AG
Exempt reporting adviser

SEC file number

802-74652

Source date

March 25, 2026
CAPMAN AB
Exempt reporting adviser

SEC file number

802-126578

Source date

March 27, 2026
CAPMAN CAPITAL MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-75912

Source date

March 27, 2026
CAPMAN INFRA MANAGEMENT OY
Exempt reporting adviser

SEC file number

802-127796

Source date

March 27, 2026
CAPMAN REAL ESTATE LTD
Exempt reporting adviser

SEC file number

802-126579

Source date

March 27, 2026
CAPRA CREDIT MANAGEMENT, LLC
Investment adviser

SEC file number

801-114898

Source date

March 30, 2026
CAPRA IBEX CREDIT OPPORTUNITIES, LLC
Investment adviser

SEC file number

801-131407

Source date

March 30, 2026
CAPRA VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135049

Source date

May 1, 2026
CAPRI EGM, LLC
Investment adviser

SEC file number

801-116878

Source date

February 23, 2026
CAPRIA VENTURES LLC
Investment adviser

SEC file number

801-130827

Source date

August 26, 2026
CAPRICE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-118661

Source date

March 31, 2026
CAPRICORN FUND MANAGERS LIMITED
Exempt reporting adviser

SEC file number

802-126896

Source date

May 19, 2026
CAPRICORN INVESTMENT GROUP LLC
Investment adviser

SEC file number

801-69602

Source date

September 18, 2026
CAPRIOLE INVESTMENTS LIMITED
Exempt reporting adviser

SEC file number

802-134002

Source date

March 24, 2026
CAPROCK PARTNERS MANAGEMENT, INC.
Investment adviser

SEC file number

801-114601

Source date

March 31, 2026
CAPSHIFT ADVISORS, LLC
Investment adviser

SEC file number

801-119451

Source date

March 30, 2026
CAPSIGMA INVESTMENT PARTNERS LTDA
Investment adviser

SEC file number

801-133718

Source date

March 30, 2026
CAPSOUTH PARTNERS, INC.
Investment adviser

SEC file number

801-63509

Source date

March 25, 2026
CAPSQUARE ASIA PARTNERS PTE. LTD.
Exempt reporting adviser

SEC file number

802-127811

Source date

September 17, 2026
CAPSTAR FINANCIAL SERVICES LLC
Investment adviser

SEC file number

801-124743

Source date

March 20, 2026
CAPSTONE CAPITAL LLC
Investment adviser

SEC file number

801-108040

Source date

July 7, 2026
CAPSTONE FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-56979

Source date

March 31, 2026
CAPSTONE INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-73004

Source date

August 5, 2026
CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-67699

Source date

September 24, 2026
CAPSTONE INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-121820

Source date

September 23, 2026
CAPSTONE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-110036

Source date

March 31, 2026
CAPSTONE WEALTH MANAGEMENT CORP.
Investment adviser

SEC file number

801-121346

Source date

July 2, 2026
CAPSTONE WEALTH MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-135432

Source date

July 9, 2026
CAPSTONE WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-118547

Source date

April 16, 2026
CAPSTONE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-132460

Source date

March 25, 2026
CAPSTONE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-107846

Source date

March 12, 2026
CAPSTONE WEALTH PARTNERS, LTD.
Investment adviser

SEC file number

801-135646

Source date

June 15, 2026
CAPTIAL ADVISOR NETWORK
Investment adviser

SEC file number

801-123345

Source date

March 23, 2026
CAPTION MANAGEMENT, LLC
Investment adviser

SEC file number

801-110893

Source date

March 24, 2026
CAPULA INVESTMENT MANAGEMENT ASIA LIMITED
Exempt reporting adviser

SEC file number

802-76916

Source date

March 10, 2026
CAPULA INVESTMENT JAPAN LIMITED
Exempt reporting adviser

SEC file number

802-75440

Source date

June 29, 2026
CAPULA INVESTMENT MANAGEMENT (ME) LIMITED
Exempt reporting adviser

SEC file number

802-135949

Source date

March 24, 2026
CAPULA INVESTMENT MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-75433

Source date

June 12, 2026
CAPULA INVESTMENT MANAGEMENT SINGAPORE PTE.LTD.
Exempt reporting adviser

SEC file number

802-120621

Source date

March 10, 2026
CAPULA INVESTMENT MANAGEMENT SWITZERLAND SARL
Exempt reporting adviser

SEC file number

802-134338

Source date

March 10, 2026
CAPULA INVESTMENT US LP
Investment adviser

SEC file number

801-73189

Source date

June 8, 2026
CAPULA MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-113693

Source date

June 16, 2026
CAPVEST PARTNERS LLP
Exempt reporting adviser

SEC file number

802-75821

Source date

June 29, 2026
CAPVEST PARTNERS, INC.
Investment adviser

SEC file number

801-127205

Source date

March 27, 2026
CAPVIS AG, FORMERLY CAPVIS EQUITY PARTNERS AG
Exempt reporting adviser

SEC file number

802-119712

Source date

March 29, 2026
CAPVISOR ASSOCIATES, LLC
Investment adviser

SEC file number

801-110889

Source date

March 26, 2026
CAPWEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-69908

Source date

March 30, 2026
CAPYBARA MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-110186

Source date

March 31, 2026
CAPZONE MANAGEMENT LLC
Investment adviser

SEC file number

801-130055

Source date

March 27, 2026
CARABELA INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-133860

Source date

March 27, 2026
CARAVELA ENERGY PARTNERS LP
Investment adviser

SEC file number

801-126835

Source date

March 30, 2026
CARBAHAL OLSEN FINANCIAL SERVICES GROUP LLC
Investment adviser

SEC file number

801-118793

Source date

March 17, 2026
CARBIDE VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-128556

Source date

March 31, 2026
CARBON COLLECTIVE INVESTING, LLC
Investment adviser

SEC file number

801-119296

Source date

March 25, 2026
CARBON DIRECT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127893

Source date

April 30, 2026
CARBON INFRASTRUCTURE PARTNERS CORP.
Exempt reporting adviser

SEC file number

802-74965

Source date

March 17, 2026
CARBON REMOVAL PARTNERS AG
Exempt reporting adviser

SEC file number

802-134256

Source date

March 13, 2026
CARBON SILICON MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137152

Source date

July 23, 2026
CARBYNE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-135760

Source date

March 4, 2026
CARDEA CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-118445

Source date

July 27, 2026
CARDENAS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-134367

Source date

March 4, 2026
CARDEROCK CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-28840

Source date

February 3, 2026
CARDIFF PARK ADVISORS,LLC
Investment adviser

SEC file number

801-66660

Source date

August 3, 2026
CARDINAL ADVISERS LLC
Investment adviser

SEC file number

801-135017

Source date

January 22, 2026
CARDINAL CAPITAL GROUP UC
Exempt reporting adviser

SEC file number

802-80618

Source date

March 24, 2026
CARDINAL CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-40703

Source date

February 16, 2026
CARDINAL CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-61764

Source date

January 6, 2026
CARDINAL COMPANIES, LLC
Exempt reporting adviser

SEC file number

802-131463

Source date

February 10, 2026
CARDINAL CSP INVESTMENTS GP, INC.
Exempt reporting adviser

SEC file number

802-120988

Source date

March 12, 2026
CARDINAL POINT CAPITAL LLC
Investment adviser

SEC file number

801-74078

Source date

March 30, 2026
CARDINAL POINT CAPITAL MANAGEMENT, ULC
Investment adviser

SEC file number

801-66719

Source date

April 21, 2026
CARDINAL RETIREMENT PLANNING, INC.
Investment adviser

SEC file number

801-132974

Source date

June 2, 2026
CARDINAL STRATEGIC WEALTH GUIDANCE, LLC
Investment adviser

SEC file number

801-107417

Source date

March 10, 2026
CARDINAL WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-124698

Source date

March 26, 2026
CARDONE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-134631

Source date

March 19, 2026
CARE EQUITY CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-128405

Source date

March 31, 2026
CAREGEN WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-137047

Source date

August 24, 2026
CAREY CONSULTING WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-123607

Source date

February 10, 2026
CARGILE INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-64513

Source date

March 24, 2026
CARILLON TOWER ADVISERS, INC.
Investment adviser

SEC file number

801-100356

Source date

May 26, 2026
CARL MARKS MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-41108

Source date

August 13, 2026
CARL P. SHERR & CO., LLC
Investment adviser

SEC file number

801-66673

Source date

March 11, 2026
CARLIN WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-127464

Source date

March 12, 2026
CARLISLE MANAGEMENT COMPANY S.A.R.L.
Exempt reporting adviser

SEC file number

802-112058

Source date

March 25, 2026
CARLISLE TAX CREDITS LLC
Investment adviser

SEC file number

801-77655

Source date

March 31, 2026
CARLO CAPITAL LLC
Investment adviser

SEC file number

801-137192

Source date

September 7, 2026
CARLSBAD WEALTH ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-107521

Source date

August 4, 2026
CARLSON & COMPANY FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-113595

Source date

March 31, 2026
CARLSON CAPITAL, L.P.
Investment adviser

SEC file number

801-60758

Source date

August 6, 2026
CARLSON FINANCIAL, INC.
Investment adviser

SEC file number

801-134078

Source date

April 8, 2026
CARLTON, HOFFERKAMP AND JENKS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-71684

Source date

March 24, 2026
CARLYLE AVIATION PDP MANAGEMENT LLC
Investment adviser

SEC file number

801-118580

Source date

March 31, 2026
CARLYLE AVIATION SECURITIES PARTNERS LLC
Investment adviser

SEC file number

801-79002

Source date

March 31, 2026
CARLYLE GLOBAL CREDIT INVESTMENT MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-77691

Source date

July 15, 2026
CARLYLE INVESTMENT MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-52462

Source date

July 7, 2026
CARMANDALIAN FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-123754

Source date

April 1, 2026
CARMEL CAPITAL MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-61225

Source date

February 27, 2026
CARMEL CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-64695

Source date

March 27, 2026
CARMEL MANAGEMENT III, LLC
Investment adviser

SEC file number

801-74214

Source date

March 31, 2026
CARMICHAEL CAPITAL, INC.
Investment adviser

SEC file number

801-129968

Source date

March 4, 2026
CARNE GLOBAL FUND MANAGERS (IRELAND) LIMITED
Exempt reporting adviser

SEC file number

802-107463

Source date

June 16, 2026
CARNE GLOBAL FUND MANAGERS (LUXEMBOURG) S.A.
Exempt reporting adviser

SEC file number

802-121583

Source date

April 1, 2026
CARNEGIE CAPITAL ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-70242

Source date

July 9, 2026
CARNEGIE LAKE ADVISORS LLC
Investment adviser

SEC file number

801-129720

Source date

March 2, 2026
CARNEGIE PARK CAPITAL LLC
Exempt reporting adviser

SEC file number

802-124973

Source date

March 27, 2026
CARNEGIE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-114906

Source date

January 20, 2026
CARNELIAN ASSET MANAGEMENT & ADVISORS PRIVATE LIMITED
Investment adviser

SEC file number

801-134884

Source date

May 11, 2026
CARNELIAN ENERGY CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-106994

Source date

March 31, 2026
CARO INVESTORS MANAGEMENT, LLC
Investment adviser

SEC file number

801-133734

Source date

March 30, 2026
CAROLINA FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-120773

Source date

May 27, 2026
CAROLINA QUALIFIED RETIREMENT PLAN ADVISERS, LLC
Investment adviser

SEC file number

801-119139

Source date

February 11, 2026
CAROLINA STRATEGY, LLC
Investment adviser

SEC file number

801-132032

Source date

January 8, 2026
CAROLINA WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-119040

Source date

March 25, 2026
CAROLINA WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-63091

Source date

April 27, 2026
CAROSA STANTON ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-53311

Source date

March 27, 2026
CAROTA WEALTH MANAGEMENT
Investment adviser

SEC file number

801-120393

Source date

August 18, 2026
CAROUSEL CAPITAL MANAGEMENT COMPANY, L.P.
Investment adviser

SEC file number

801-73773

Source date

May 8, 2026
CARPATHIAN CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-131837

Source date

March 25, 2026
CARPEDIEM ADVISORS PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-134180

Source date

July 2, 2026
CARPENTER, CLAYDON ADVISORS, INC.
Investment adviser

SEC file number

801-67751

Source date

March 4, 2026
CARR FINANCIAL GROUP CORPORATION
Investment adviser

SEC file number

801-123187

Source date

September 15, 2026
CARRAIGHILL CAPITAL LIMITED
Investment adviser

SEC file number

801-112385

Source date

February 9, 2026
CARRERA CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-130197

Source date

July 24, 2026
CARRET ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-63093

Source date

June 10, 2026
CARRHAE CAPITAL (DIFC) LIMITED
Investment adviser

SEC file number

801-134447

Source date

August 11, 2026
CARRHAE CAPITAL, LLP
Investment adviser

SEC file number

801-77064

Source date

August 11, 2026
CARRIAGE SERVICES INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-76865

Source date

March 27, 2026
CARRICK CAPITAL MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-118804

Source date

March 30, 2026
CARRICK LANE LLC
Investment adviser

SEC file number

801-120019

Source date

March 19, 2026
CARRINGTON CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-72366

Source date

March 30, 2026
CARROLL ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-132029

Source date

February 18, 2026
CARROLL INVESTORS, INC.
Investment adviser

SEC file number

801-119870

Source date

March 19, 2026
CARROLL STREET CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131638

Source date

April 15, 2026
CARROLLTON MINERAL PARTNERS GP, LP
Exempt reporting adviser

SEC file number

802-76119

Source date

March 31, 2026
CARRONADE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-118911

Source date

August 5, 2026
CARR'S HILL CAPITAL PARTNERS MANAGEMENT, L.P.
Investment adviser

SEC file number

801-130535

Source date

April 29, 2026
CARRY ADVISORS LLC
Investment adviser

SEC file number

801-126799

Source date

September 23, 2026
CARSON ADVISORY, INC.
Investment adviser

SEC file number

801-64883

Source date

April 24, 2026
CARSON GROUP INVESTING, LLC
Investment adviser

SEC file number

801-113561

Source date

May 5, 2026
CARSON MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-71258

Source date

July 15, 2026
CARSONALLARIA WEALTH MANAGEMENT, LTD.
Investment adviser

SEC file number

801-112867

Source date

March 16, 2026
CARSWELL INVESTMENTS, LLC
Investment adviser

SEC file number

801-72455

Source date

March 24, 2026
CARTA FINANCIERA SA.
Investment adviser

SEC file number

801-118705

Source date

March 24, 2026
CARTE VERTE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-120921

Source date

March 25, 2026
CARTENNA CAPITAL LP
Investment adviser

SEC file number

801-118246

Source date

June 22, 2026
CARTER FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-118263

Source date

March 5, 2026
CARTER FINANCIAL, LLC
Investment adviser

SEC file number

801-117265

Source date

July 8, 2026
CARTER, TERRY & COMPANY, INC.
Investment adviser

SEC file number

801-113129

Source date

March 27, 2026
CARTER-HASTON INVESTMENT PARTNERS II GP, LLC
Investment adviser

SEC file number

801-107656

Source date

March 17, 2026
CARTESIAN CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-73995

Source date

March 30, 2026
CARTESS INVESTMENT PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132316

Source date

February 6, 2026
CARTHAGE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134234

Source date

March 24, 2026
CARUSO MCLEAN & CO., INC.
Investment adviser

SEC file number

801-64498

Source date

March 18, 2026
CARVAL CLO MANAGEMENT LLC
Investment adviser

SEC file number

801-131161

Source date

September 25, 2026
CARY STREET PARTNERS ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-110994

Source date

March 31, 2026
CARY STREET PARTNERS INVESTMENT ADVISORY LLC
Investment adviser

SEC file number

801-64239

Source date

March 30, 2026
CAS INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-111983

Source date

March 31, 2026
CASA VERDE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-113254

Source date

March 31, 2026
CASCADE FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-128042

Source date

March 27, 2026
CASCADE FINANCIAL STRATEGIES, LLC
Investment adviser

SEC file number

801-132417

Source date

March 20, 2026
CASCADE INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-62891

Source date

February 20, 2026
CASCADE INVESTMENT GROUP, INC.
Investment adviser

SEC file number

801-53819

Source date

March 23, 2026
CASCADE WEALTH ADVISORS, INC
Investment adviser

SEC file number

801-122620

Source date

August 3, 2026
CASCADES CAPITAL ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-113166

Source date

March 26, 2026
CASDER INSTITUTE OF WEALTH INC.
Exempt reporting adviser

SEC file number

802-134734

Source date

October 10, 2025
CASDIN CAPITAL, LLC
Investment adviser

SEC file number

801-110894

Source date

March 31, 2026
CASEY CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-74707

Source date

March 20, 2026
CASILIO LEITCH INVESTMENTS, LLC
Investment adviser

SEC file number

801-110379

Source date

February 10, 2026
CASPIAN CAPITAL, LP
Investment adviser

SEC file number

801-72238

Source date

March 31, 2026
CASSADAY & CO WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-122868

Source date

March 9, 2026
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
Investment adviser

SEC file number

801-129764

Source date

July 10, 2026
CASSEDY FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-121550

Source date

March 31, 2026
CASSIA CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-119057

Source date

February 13, 2026
CASSILLY FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-132612

Source date

February 27, 2026
CASSIUS FAMILY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-113418

Source date

February 25, 2026
CASSIUS MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-135580

Source date

February 13, 2026
CASTANEA PARTNERS INC.
Investment adviser

SEC file number

801-73298

Source date

March 31, 2026
CASTELLAN GROUP, LLC
Investment adviser

SEC file number

801-119581

Source date

March 25, 2026
CASTFIRM ADVISORS LLC
Investment adviser

SEC file number

801-136175

Source date

May 11, 2026
CASTIK CAPITAL SARL
Exempt reporting adviser

SEC file number

802-119143

Source date

March 10, 2026
CASTLE COAST WEALTH, LLC
Investment adviser

SEC file number

801-117737

Source date

August 21, 2026
CASTLE CREEK ADVISORS IV LLC
Investment adviser

SEC file number

801-72923

Source date

March 30, 2026