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 29 of 95

ECIO, INC.
Investment adviser

SEC file number

801-129326

Source date

September 23, 2026
ECKUITY CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136192

Source date

April 3, 2026
ECKUITY LLC
Exempt reporting adviser

SEC file number

802-129049

Source date

March 30, 2026
ECLECTIC ASSOCIATES, INC.
Investment adviser

SEC file number

801-21175

Source date

August 12, 2026
ECLECTIC MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-122982

Source date

March 27, 2026
ECLIPSE OPERATIONS, LLC
Exempt reporting adviser

SEC file number

802-101492

Source date

March 26, 2026
ECLIPTIC MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-121350

Source date

March 30, 2026
ECM EQUITY CAPITAL MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-74962

Source date

March 30, 2026
ECOBRIDGE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-130632

Source date

March 13, 2026
ECON FINANCIAL SERVICES CORPORATION
Investment adviser

SEC file number

801-104471

Source date

March 10, 2026
ECONOLOGICS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-79018

Source date

March 24, 2026
ECONOMIC CYCLE FUND MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-135546

Source date

February 11, 2026
ECOR1 CAPITAL, LLC
Investment adviser

SEC file number

801-100470

Source date

March 30, 2026
ECOSYSTEM INTEGRITY MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-76207

Source date

March 30, 2026
ECOSYSTEM INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-77667

Source date

March 31, 2026
ECP INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-108280

Source date

March 30, 2026
ECP MANAGEMENT III, LLC
Exempt reporting adviser

SEC file number

802-132688

Source date

April 21, 2026
ECV IL MANCO LIMITED
Exempt reporting adviser

SEC file number

802-126668

Source date

May 27, 2026
EDDIE PATEL, INC
Investment adviser

SEC file number

801-134594

Source date

February 20, 2026
EDELWEISS, LLC
Exempt reporting adviser

SEC file number

802-120374

Source date

January 21, 2026
EDEN ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-135828

Source date

September 4, 2026
EDEN BLOCK LP
Exempt reporting adviser

SEC file number

802-136310

Source date

August 26, 2026
EDEN CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-112179

Source date

April 27, 2026
EDEN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-137050

Source date

July 21, 2026
EDEN FINANCIAL TECHNOLOGIES INCORPORATED
Investment adviser

SEC file number

801-130646

Source date

January 15, 2026
EDEN GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-130819

Source date

March 31, 2026
EDEN ROAD CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-136382

Source date

April 28, 2026
EDENBROOK CAPITAL, LLC
Investment adviser

SEC file number

801-119072

Source date

March 30, 2026
EDGBASTON INVESTMENT PARTNERS LLP
Investment adviser

SEC file number

801-71397

Source date

June 29, 2026
EDGE CAPITAL INVESTMENT MANAGEMENT, LTD
Exempt reporting adviser

SEC file number

802-122520

Source date

September 18, 2026
EDGE CASE CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-130559

Source date

February 23, 2026
EDGE FOCUS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-119377

Source date

September 1, 2026
EDGE NATURAL RESOURCES LLC
Investment adviser

SEC file number

801-98339

Source date

March 30, 2026
EDGE PARTNERS CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131291

Source date

May 29, 2026
EDGE PRINCIPAL ADVISORS, LLC
Investment adviser

SEC file number

801-74056

Source date

April 30, 2026
EDGE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-67345

Source date

February 2, 2026
EDGEMOOR INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-56945

Source date

March 25, 2026
EDGEPOINT INVESTMENT GROUP INC.
Investment adviser

SEC file number

801-120180

Source date

June 24, 2026
EDGEROCK CAPITAL LLC
Investment adviser

SEC file number

801-121314

Source date

June 24, 2026
EDGESTONE PARTNERS, INC.
Exempt reporting adviser

SEC file number

802-106873

Source date

April 30, 2026
EDGESTREAM PARTNERS, L.P.
Investment adviser

SEC file number

801-77579

Source date

March 30, 2026
EDGEWATER CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-118018

Source date

May 21, 2026
EDGEWATER SERVICES, LLC
Investment adviser

SEC file number

801-73750

Source date

April 9, 2026
EDGEWOOD CAPITAL ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-76796

Source date

March 26, 2026
EDGEWOOD MANAGEMENT LLC
Investment adviser

SEC file number

801-9970

Source date

July 30, 2026
EDGEWORTH CAPITAL PTY LTD
Investment adviser

SEC file number

801-136012

Source date

March 27, 2026
EDGEWORTH CAPITAL, INC.
Exempt reporting adviser

SEC file number

802-128510

Source date

July 1, 2026
EDISON PARTNERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-119661

Source date

March 31, 2026
EDITION VENTURES LLC
Exempt reporting adviser

SEC file number

802-134552

Source date

June 26, 2026
EDL CAPITAL AG
Exempt reporting adviser

SEC file number

802-113959

Source date

March 19, 2026
EDMOND DE ROTHSCHILD PRIVATE EQUITY LUXEMBOURG S.A
Exempt reporting adviser

SEC file number

802-112747

Source date

March 6, 2026
EDMP, INC.
Investment adviser

SEC file number

801-43372

Source date

March 5, 2026
EDUCATION GROWTH PARTNERS, LLC
Investment adviser

SEC file number

801-117090

Source date

March 30, 2026
EDWALL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-137075

Source date

July 14, 2026
EDWARD D. JONES & CO., L.P.
Investment adviser

SEC file number

801-3297

Source date

September 25, 2026
EDWARDS CAPITAL, LLC
Investment adviser

SEC file number

801-73440

Source date

March 30, 2026
EDWIN T. BURTON, INC.
Investment adviser

SEC file number

801-112782

Source date

March 3, 2026
EDYN FINANCIAL INC.
Investment adviser

SEC file number

801-136726

Source date

August 27, 2026
EFFECTIVE ASSETS, INC.
Investment adviser

SEC file number

801-120391

Source date

February 4, 2026
EFFICIENT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-111824

Source date

March 6, 2026
EFFISSIMO CAPITAL MANAGEMENT PTE LTD
Exempt reporting adviser

SEC file number

802-75083

Source date

March 27, 2026
EFFISSIMO PARTNERS
Exempt reporting adviser

SEC file number

802-107487

Source date

March 27, 2026
EFG ASSET MANAGEMENT (NORTH AMERICA) CORP
Investment adviser

SEC file number

801-120586

Source date

March 31, 2026
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
Investment adviser

SEC file number

801-72773

Source date

March 31, 2026
EFINANCIAL ALLIANCE, LLC
Investment adviser

SEC file number

801-127547

Source date

April 16, 2026
EFM INVESTMENTS & ADVISORY LLC
Investment adviser

SEC file number

801-135239

Source date

March 31, 2026
EFS ADVISORS LLC
Investment adviser

SEC file number

801-62857

Source date

March 3, 2026
EGARDEN II CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-119851

Source date

March 5, 2026
EGARDEN III CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-119849

Source date

March 5, 2026
EGARDEN IV CAPITAL LTD
Exempt reporting adviser

SEC file number

802-119850

Source date

March 5, 2026
EGATEWAY CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-127870

Source date

March 31, 2026
EGERIA CAPITAL MANAGEMENT B.V.
Exempt reporting adviser

SEC file number

802-134201

Source date

July 16, 2026
EGERTON CAPITAL (UK) LLP
Investment adviser

SEC file number

801-72167

Source date

May 21, 2026
EGERTON CAPITAL (US), LP
Investment adviser

SEC file number

801-113876

Source date

March 26, 2026
EGI FINANCIAL, INC.
Investment adviser

SEC file number

801-112725

Source date

February 13, 2026
EGIS CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-136795

Source date

July 13, 2026
EGLINTON CAPITAL PARTNERS INC.
Exempt reporting adviser

SEC file number

802-136257

Source date

April 15, 2026
EGP MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-114113

Source date

February 13, 2026
EGSI INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-136784

Source date

July 30, 2026
EHB FINANCIAL RESOURCES MANAGEMENT, INC.
Investment adviser

SEC file number

801-123260

Source date

February 6, 2026
EHG WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-136620

Source date

July 28, 2026
EHL ASSET MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137459

Source date

September 7, 2026
EHLERS INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-69849

Source date

August 26, 2026
EHRENBERG CHESLER INVESTMENT ADVISORS LLC
Exempt reporting adviser

SEC file number

802-130881

Source date

March 30, 2026
EHRENKRANZ PARTNERS L.P.
Investment adviser

SEC file number

801-63200

Source date

June 8, 2026
EHVC, LLC
Exempt reporting adviser

SEC file number

802-136641

Source date

June 2, 2026
EICHNER INVESTMENT PLANNING, LLC
Investment adviser

SEC file number

801-113004

Source date

March 12, 2026
EIF MANAGERS II LIMITED
Exempt reporting adviser

SEC file number

802-108681

Source date

March 30, 2026
EIF MANAGERS III LIMITED
Exempt reporting adviser

SEC file number

802-118829

Source date

March 30, 2026
EIF MANAGERS IV LIMITED
Exempt reporting adviser

SEC file number

802-127856

Source date

March 23, 2026
EIF MANAGERS LIMITED
Exempt reporting adviser

SEC file number

802-76578

Source date

March 30, 2026
EIG MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-71744

Source date

March 31, 2026
EIGER WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-116820

Source date

March 19, 2026
EIGHT 31 FINANCIAL, LLC
Investment adviser

SEC file number

801-128608

Source date

March 31, 2026
EIGHT ACRES CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-115062

Source date

March 30, 2026
EIGHT AVENUE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137367

Source date

August 24, 2026
EIGHT BAR PARTNERS, LP
Exempt reporting adviser

SEC file number

802-128271

Source date

March 30, 2026
EIGHT CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132597

Source date

March 27, 2026
EIGHT PARTNERS VC, LLC
Investment adviser

SEC file number

801-134666

Source date

April 16, 2026
EIGHT ROADS GP
Exempt reporting adviser

SEC file number

802-111947

Source date

March 30, 2026
EIGHTFOLD REAL ESTATE CAPITAL, L.P.
Investment adviser

SEC file number

801-78307

Source date

April 21, 2026
EIGHTY-SEVEN CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119063

Source date

March 30, 2026
EIR PARTNERS CAPITAL, LP
Investment adviser

SEC file number

801-128460

Source date

March 31, 2026
EIV CAPITAL, LLC
Investment adviser

SEC file number

801-100496

Source date

March 26, 2026
EJF CAPITAL LP
Investment adviser

SEC file number

801-65725

Source date

September 4, 2026
EJMK VENTURES LLC
Investment adviser

SEC file number

801-132537

Source date

March 20, 2026
EKANTA WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-115217

Source date

March 23, 2026
EKO INVESTMENTS INC.
Investment adviser

SEC file number

801-120685

Source date

September 6, 2026
EKON ADVISORS, LLC
Investment adviser

SEC file number

801-106780

Source date

March 4, 2026
EL CAMINO GLOBAL CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-118373

Source date

March 19, 2026
EL CAP HOLDINGS CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-130166

Source date

March 28, 2025
EL CASTILLO INVESTMENTS, LLC
Investment adviser

SEC file number

801-129550

Source date

May 4, 2026
EL MENUDO CUENTA LLC
Investment adviser

SEC file number

801-129199

Source date

April 28, 2026
ELAN CAPITAL MANAGEMENT (LONDON) LTD
Exempt reporting adviser

SEC file number

802-112295

Source date

June 26, 2026
ELAN CAPITAL MANAGEMENT (SINGAPORE) PTE. LTD
Exempt reporting adviser

SEC file number

802-131478

Source date

June 29, 2026
ELAN CAPITAL MANAGEMENT OY
Exempt reporting adviser

SEC file number

802-120630

Source date

March 27, 2026
ELCO MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-64940

Source date

May 20, 2026
ELDA RIVER CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-129143

Source date

March 31, 2026
ELDERADO FINANCIAL, INC
Investment adviser

SEC file number

801-121234

Source date

February 9, 2026
ELDRED ROCK PARTNERS, LLC
Investment adviser

SEC file number

801-128420

Source date

May 26, 2026
ELDRIDGE CREDIT ADVISERS, LLC
Investment adviser

SEC file number

801-73096

Source date

May 13, 2026
ELDRIDGE GP1 ADVISERS, LLC
Investment adviser

SEC file number

801-131606

Source date

May 13, 2026
ELDRIDGE INVESTMENT ADVISORS INC
Investment adviser

SEC file number

801-42161

Source date

May 18, 2026
ELDRIDGE SME ADVISERS, LLC
Investment adviser

SEC file number

801-131605

Source date

May 13, 2026
ELDRIDGE STRUCTURED CREDIT ADVISERS, LLC
Investment adviser

SEC file number

801-121470

Source date

March 31, 2026
ELE ADVISORY SERVICES, INC
Investment adviser

SEC file number

801-117442

Source date

July 13, 2026
ELECTRA CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-126452

Source date

March 24, 2026
ELECTRIC CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-121925

Source date

March 31, 2026
ELECTRIC FEEL VENTURES LLC
Exempt reporting adviser

SEC file number

802-123748

Source date

August 28, 2026
ELECTRON CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-79375

Source date

March 31, 2026
ELEFUND MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-112561

Source date

April 3, 2026
ELEMENT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-73544

Source date

March 30, 2026
ELEMENT INVESTMENTS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137141

Source date

July 22, 2026
ELEMENT POINTE ADVISORS, LLC
Investment adviser

SEC file number

801-107214

Source date

July 30, 2026
ELEMENT SQUARED LLC
Investment adviser

SEC file number

801-128607

Source date

September 15, 2026
ELEMENT WEALTH, LLC
Investment adviser

SEC file number

801-61758

Source date

March 23, 2026
ELEMENTAL CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-120363

Source date

March 2, 2026
ELEMENTS HEALTH INVESTORS MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-129350

Source date

August 25, 2026
ELEMENTUM ADVISORS, LLC
Investment adviser

SEC file number

801-70618

Source date

March 26, 2026
ELEQUIN CAPITAL, LP
Investment adviser

SEC file number

801-129941

Source date

September 4, 2026
ELEVAGE PARTNERS, LLC
Investment adviser

SEC file number

801-112475

Source date

March 27, 2026
ELEVAR EQUITY MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-126308

Source date

March 5, 2026
ELEVATE CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-119997

Source date

September 1, 2026
ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-135497

Source date

June 11, 2026
ELEVATE PLANNERS, LLC
Investment adviser

SEC file number

801-134828

Source date

December 15, 2025
ELEVATE WEALTH ADVISORY, INC.
Investment adviser

SEC file number

801-77776

Source date

March 19, 2026
ELEVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-133839

Source date

May 14, 2026
ELEVATED CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-110864

Source date

March 17, 2026
ELEVATED FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-131787

Source date

September 21, 2026
ELEVATED PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-132241

Source date

September 3, 2026
ELEVATION ADVISORY PARTNERS LLC
Investment adviser

SEC file number

801-120658

Source date

September 9, 2026
ELEVATION CAPITAL ADVISORY, LLC
Investment adviser

SEC file number

801-118748

Source date

February 19, 2026
ELEVATION CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-75353

Source date

March 23, 2026
ELEVATION HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-134692

Source date

March 23, 2026
ELEVATION POINT WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-65068

Source date

September 22, 2026
ELEVATION WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129736

Source date

March 31, 2026
ELEVATION WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-127588

Source date

July 23, 2026
ELEVATION WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-81152

Source date

August 26, 2026
ELEVATUS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-127608

Source date

September 17, 2026
ELEY FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-34761

Source date

March 31, 2026
ELGETHUN CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-66560

Source date

March 27, 2026
ELI CIRCLE CAPITAL, LP
Investment adviser

SEC file number

801-132712

Source date

March 16, 2026
ELION PARTNERS, LLC
Investment adviser

SEC file number

801-110933

Source date

March 31, 2026
ELIOS FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-113807

Source date

March 16, 2026
ELIOT FINKEL INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-10139

Source date

March 30, 2026
ELIOT ROSE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-121354

Source date

February 11, 2026
ELITE CAPITAL FOUNDATION LTD
Exempt reporting adviser

SEC file number

802-136544

Source date

May 21, 2026
ELITE CAPITAL MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-69929

Source date

February 23, 2026
ELITE FINANCIAL, INC.
Investment adviser

SEC file number

801-119574

Source date

April 21, 2026
ELITE INCOME ADVISORS, INC.
Investment adviser

SEC file number

801-132873

Source date

March 27, 2026
ELITE LIFE MANAGEMENT LLC
Investment adviser

SEC file number

801-127003

Source date

November 12, 2025
ELITE RETIREMENT PLANNING, LLC
Investment adviser

SEC file number

801-118564

Source date

March 30, 2026
ELITE TAMP LLC
Investment adviser

SEC file number

801-128578

Source date

September 9, 2026
ELITE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-131559

Source date

June 3, 2026
ELITE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-63310

Source date

March 30, 2026
ELIZABETH PARK CAPITAL ADVISORS, LTD
Investment adviser

SEC file number

801-79370

Source date

March 30, 2026
ELK RIVER WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-118102

Source date

February 24, 2026
ELKWATER CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-132998

Source date

March 20, 2026
ELLA FINANCIAL ADVISING LLC
Investment adviser

SEC file number

801-135609

Source date

August 13, 2026
ELLASINVEST ASSET MANAGEMENT INC
Exempt reporting adviser

SEC file number

802-135869

Source date

March 17, 2026
ELLENBECKER INVESTMENT GROUP, INC.
Investment adviser

SEC file number

801-80600

Source date

March 27, 2026
ELLERBROCK-NORRIS WEALTH STRATEGIES LLC
Investment adviser

SEC file number

801-132779

Source date

June 17, 2026
ELLEVEST, INC.
Investment adviser

SEC file number

801-106683

Source date

July 17, 2026
ELLINGTON CREDIT COMPANY MANAGEMENT LLC
Investment adviser

SEC file number

801-78637

Source date

March 30, 2026
ELLINGTON FINANCIAL MANAGEMENT LLC
Investment adviser

SEC file number

801-70630

Source date

March 30, 2026
ELLINGTON GLOBAL ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-67147

Source date

March 30, 2026
ELLINGTON MANAGEMENT GROUP, L.L.C.
Investment adviser

SEC file number

801-56399

Source date

August 14, 2026
ELLIOT ZEELANDER MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-96289

Source date

March 31, 2026
ELLIOTT COVE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-63436

Source date

February 5, 2026
ELLIOTT INVESTMENT MANAGEMENT L.P.
Investment adviser

SEC file number

801-119969

Source date

July 24, 2026
ELLIS INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-73011

Source date

March 12, 2026
ELLIS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136593

Source date

July 14, 2026
ELLSWORTH ADVISORS, LLC
Investment adviser

SEC file number

801-113634

Source date

February 23, 2026
ELM CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135670

Source date

February 24, 2026
ELM HAVEN CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136214

Source date

July 17, 2026
ELM PARTNERS MANAGEMENT LLC
Investment adviser

SEC file number

801-78018

Source date

September 3, 2026
ELM RIDGE MANAGEMENT, LLC
Investment adviser

SEC file number

801-128476

Source date

March 20, 2026
ELM3 FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-126278

Source date

June 8, 2026
ELMIND CAPITAL LP
Investment adviser

SEC file number

801-131599

Source date

September 3, 2026
ELMTREE FUNDS, LLC
Investment adviser

SEC file number

801-134683

Source date

March 31, 2026
ELMWOOD ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-114556

Source date

March 4, 2026
ELMWOOD WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-110782

Source date

May 14, 2026
ELPHINSTONE, INC.
Investment adviser

SEC file number

801-119983

Source date

April 2, 2026
ELPIS CAPITAL GROUP, LLC
Exempt reporting adviser

SEC file number

802-136848

Source date

June 26, 2026
ELSER FINANCIAL PLANNING, INC.
Investment adviser

SEC file number

801-80871

Source date

March 6, 2026
ELSEWHERE PARTNERS, LLC
Investment adviser

SEC file number

801-127776

Source date

May 8, 2026
ELTEKON ADVISORS, LLC.
Investment adviser

SEC file number

801-123415

Source date

August 25, 2026
ELTRINGHAM WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-130610

Source date

March 24, 2026
ELTURA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-131360

Source date

June 24, 2026
ELV8 INC.
Investment adviser

SEC file number

801-123234

Source date

March 31, 2026
ELWOOD & GOETZ WEALTH ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-109935

Source date

August 25, 2026
ELWOOD CAPITAL PARTNERS LP
Exempt reporting adviser

SEC file number

802-128062

Source date

March 30, 2026
ELYPATH CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136360

Source date

April 27, 2026
ELYSEUM FAMILY OFFICE S.A.
Exempt reporting adviser

SEC file number

802-112215

Source date

February 5, 2026
ELYSIAN CAPITAL LLP
Exempt reporting adviser

SEC file number

802-113594

Source date

May 14, 2026
ELYSIUM WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129684

Source date

September 2, 2026
ELYXIUM WEALTH LLC
Investment adviser

SEC file number

801-130221

Source date

August 21, 2026
EM ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-136493

Source date

May 14, 2026
EM INVESTMENT GROUP INC.
Exempt reporting adviser

SEC file number

802-137312

Source date

August 17, 2026
EMBARCADERO FINANCIAL INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-118400

Source date

March 11, 2026
EMBARK MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-109992

Source date

March 30, 2026
EMBARK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129246

Source date

March 30, 2026
EMBASSY ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-122393

Source date

May 1, 2026
EMBER INFRASTRUCTURE MANAGEMENT, LP
Investment adviser

SEC file number

801-122914

Source date

March 31, 2026
EMBERSTONE CAPITAL INC.
Exempt reporting adviser

SEC file number

802-137509

Source date

September 14, 2026
EMBLEM GROUP, L.P.
Investment adviser

SEC file number

801-130156

Source date

September 4, 2026
EMBREE CAPITAL MARKETS GROUP, INC.
Exempt reporting adviser

SEC file number

802-134996

Source date

February 12, 2026
EMBREE FINANCIAL GROUP
Investment adviser

SEC file number

801-63489

Source date

August 17, 2026
EMBREY FUND MANAGER, LLC
Exempt reporting adviser

SEC file number

802-130276

Source date

February 18, 2026
EMC CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-78701

Source date

March 6, 2026
EMC CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-125724

Source date

March 18, 2026
EMCEE INVEST, INC.
Investment adviser

SEC file number

801-113554

Source date

March 24, 2026
EMERALD ADVISERS, LLC
Investment adviser

SEC file number

801-40263

Source date

March 31, 2026
EMERALD ADVISORS, LLC
Investment adviser

SEC file number

801-117515

Source date

September 10, 2026
EMERALD ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-132053

Source date

March 10, 2026
EMERALD BAY WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-132168

Source date

March 19, 2026
EMERALD DEVELOPMENT MANAGERS LP
Exempt reporting adviser

SEC file number

802-78331

Source date

March 30, 2026
EMERALD HILL CAPITAL PARTNERS HOLDINGS, LLC
Investment adviser

SEC file number

801-114173

Source date

March 26, 2026
EMERALD INVESTMENT ADVISERS, LLC
Investment adviser

SEC file number

801-134558

Source date

January 30, 2026
EMERALD LAKE CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-114785

Source date

April 27, 2026
EMERALD MUTUAL FUND ADVISERS TRUST
Investment adviser

SEC file number

801-64204

Source date

March 30, 2026
EMERALD RESEARCH CORPORATION
Investment adviser

SEC file number

801-60455

Source date

February 17, 2026
EMERALD SEPARATE ACCOUNT MANAGEMENT LLC
Investment adviser

SEC file number

801-70504

Source date

March 30, 2026
EMERALD TECHNOLOGY VENTURES AG
Exempt reporting adviser

SEC file number

802-108357

Source date

February 5, 2026
EMERGE CAPITAL MANAGEMENT INC.
Investment adviser

SEC file number

801-113648

Source date

June 17, 2025
EMERGENCE EQUITY MANAGEMENT, INC
Exempt reporting adviser

SEC file number

802-75160

Source date

March 27, 2026
EMERGENT CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-73169

Source date

March 16, 2026
EMERGENT FINANCIAL SERVICES, LLC.
Investment adviser

SEC file number

801-114160

Source date

March 24, 2026
EMERGENT STRATEGIC PARTNERS, LLC
Investment adviser

SEC file number

801-136815

Source date

July 20, 2026
EMERGENT VENTURES, LLC
Exempt reporting adviser

SEC file number

802-119051

Source date

March 30, 2026