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 3 of 95

ACREW DIVERSIFY CAPITAL MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-124945

Source date

March 30, 2026
ACREWOOD HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-76298

Source date

March 31, 2026
ACRONYM ETC. MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131560

Source date

February 2, 2026
ACROPOLIS INVESTMENT MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-61444

Source date

March 26, 2026
ACROPOLIS PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132586

Source date

March 28, 2025
ACRUENCE CAPITAL, LLC
Investment adviser

SEC file number

801-119919

Source date

June 17, 2026
ACRYLIC FINANCIAL, INC.
Investment adviser

SEC file number

801-123623

Source date

May 1, 2026
ACT ADVISORS, LLC
Investment adviser

SEC file number

801-80418

Source date

March 30, 2026
ACT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-122045

Source date

June 3, 2026
ACT ONE VENTURES MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-123328

Source date

March 26, 2026
ACT TWO CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137532

Source date

September 15, 2026
ACT TWO INVESTORS LLC
Investment adviser

SEC file number

801-112940

Source date

April 2, 2026
ACT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-71924

Source date

February 17, 2026
ACTELLIGENT PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-120498

Source date

May 10, 2026
ACTERA GROUP LTD
Exempt reporting adviser

SEC file number

802-75950

Source date

June 3, 2026
ACTITRUST WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-120812

Source date

February 2, 2026
ACTIV8 FAMILY OFFICE LLC
Investment adviser

SEC file number

801-134678

Source date

August 3, 2026
ACTIVANT CAPITAL GROUP LLC
Investment adviser

SEC file number

801-113729

Source date

March 31, 2026
ACTIVATE CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-118036

Source date

March 31, 2026
ACTIVATE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-131881

Source date

March 26, 2026
ACTIVE OWNERSHIP CORPORATION S.� R.L.
Exempt reporting adviser

SEC file number

802-119520

Source date

March 31, 2026
ACTIVE VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-129975

Source date

March 30, 2026
ACTIVE WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-134176

Source date

July 15, 2026
ACTIVEALPHA INVESTMENT ADVISORS PRIVATE LIMITED / INDIA
Investment adviser

SEC file number

801-134749

Source date

August 31, 2026
ACTIVECAP - CAPITAL PARTNERS, SCR, S.A.
Exempt reporting adviser

SEC file number

802-135799

Source date

March 12, 2026
ACTIVEST WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113430

Source date

September 22, 2026
ACTIVUM SG CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-76749

Source date

March 30, 2026
ACTS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-129105

Source date

March 5, 2026
ACTUSRAYPARTNERS LIMITED
Investment adviser

SEC file number

801-124737

Source date

July 6, 2026
ACUITAS INVESTMENTS, LLC
Investment adviser

SEC file number

801-79447

Source date

April 16, 2026
ACUMEN CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-108698

Source date

March 31, 2026
ACUMEN FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-71042

Source date

March 30, 2026
ACUMEN WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-107192

Source date

March 27, 2026
ACUTA CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-136966

Source date

June 30, 2026
ACUTE INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-126000

Source date

February 10, 2026
ACV CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-126571

Source date

January 29, 2026
ACVC MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-120813

Source date

March 11, 2026
ADAGE CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-73131

Source date

March 25, 2026
ADAGIO CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-112200

Source date

March 31, 2026
ADALTA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-107823

Source date

March 31, 2026
ADAMANTEM CAPITAL MANAGEMENT PTY LTD
Exempt reporting adviser

SEC file number

802-120205

Source date

September 14, 2026
ADAMO CAPITAL FAMILY OFFICE LLC
Investment adviser

SEC file number

801-123712

Source date

March 26, 2026
ADAMS ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-136034

Source date

August 28, 2026
ADAMS ASSET ADVISORS LLC
Investment adviser

SEC file number

801-61797

Source date

January 7, 2026
ADAMS CAPITAL MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-75426

Source date

March 24, 2026
ADAMS DIVERSIFIED EQUITY FUND, INC.
Investment adviser

SEC file number

801-106561

Source date

March 27, 2026
ADAMS FUNDS ADVISERS, LLC
Investment adviser

SEC file number

801-106700

Source date

March 27, 2026
ADAMS STREET ADVISORS, LLC
Investment adviser

SEC file number

801-131949

Source date

June 24, 2026
ADAMS STREET PARTNERS, LLC
Investment adviser

SEC file number

801-58169

Source date

June 17, 2026
ADAMS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-110862

Source date

August 13, 2026
ADAMSBROWN WEALTH CONSULTANTS LLC
Investment adviser

SEC file number

801-118670

Source date

August 18, 2026
ADAPT INVESTMENT MANAGERS SA
Exempt reporting adviser

SEC file number

802-130306

Source date

March 30, 2026
ADAPT WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-129358

Source date

September 16, 2026
ADAPTATION FINANCIAL ADVISORS INC.
Investment adviser

SEC file number

801-118982

Source date

May 6, 2026
ADAPTIVE ADVISERS, LLC
Investment adviser

SEC file number

801-126908

Source date

February 7, 2026
ADAPTIVE CAPITAL MANAGEMENT PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-123665

Source date

March 17, 2026
ADAPTIVE FINANCIAL CONSULTING, LLC
Investment adviser

SEC file number

801-114947

Source date

March 5, 2026
ADAR1 CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130082

Source date

March 31, 2026
ADARE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-124714

Source date

February 26, 2026
ADC WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-75532

Source date

February 17, 2026
ADD VENTURES CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-128231

Source date

March 16, 2026
ADDABLE MONEY LLC
Investment adviser

SEC file number

801-125972

Source date

March 31, 2026
ADDENDA CAPITAL INC.
Investment adviser

SEC file number

801-64799

Source date

March 30, 2026
ADDICUS ADVISORY, LLC
Investment adviser

SEC file number

801-122401

Source date

June 30, 2026
ADDIGENCE CORPORATION
Investment adviser

SEC file number

801-131842

Source date

July 20, 2026
ADDINGTON FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-112629

Source date

March 3, 2026
ADDIS & HILL, INCORPORATED
Investment adviser

SEC file number

801-118276

Source date

April 8, 2026
ADDISON ADVISORS LLC
Investment adviser

SEC file number

801-115308

Source date

February 17, 2026
ADDISON CAPITAL, LLC
Investment adviser

SEC file number

801-68352

Source date

August 14, 2026
ADDISONMANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-127257

Source date

March 13, 2026
ADDITION, L.P.
Exempt reporting adviser

SEC file number

802-119455

Source date

March 30, 2026
ADDITIVE ADVISORY PBC
Investment adviser

SEC file number

801-107878

Source date

March 23, 2026
ADE, LLC
Investment adviser

SEC file number

801-106631

Source date

June 25, 2026
ADELANTE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-48599

Source date

March 20, 2026
ADELIE INVESTMENT MANAGEMENT COMPANY
Exempt reporting adviser

SEC file number

802-75685

Source date

June 5, 2026
ADELIO PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-135214

Source date

January 12, 2026
ADELIS ADVISORY A/S
Exempt reporting adviser

SEC file number

802-123083

Source date

March 20, 2026
ADELIS ADVISORY I AB
Exempt reporting adviser

SEC file number

802-78873

Source date

March 19, 2026
ADELIS ADVISORY II AB
Exempt reporting adviser

SEC file number

802-120761

Source date

March 19, 2026
ADELIS ADVISORY III AB
Exempt reporting adviser

SEC file number

802-123082

Source date

March 19, 2026
ADELIS ADVISORY IV AB
Exempt reporting adviser

SEC file number

802-131808

Source date

March 19, 2026
ADELIS SSID ADVISORY AB
Exempt reporting adviser

SEC file number

802-126377

Source date

March 19, 2026
ADELL HARRIMAN & CARPENTER INC
Investment adviser

SEC file number

801-50660

Source date

August 27, 2026
ADELPHI CAPITAL ADVISORY, LLC
Exempt reporting adviser

SEC file number

802-114399

Source date

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

SEC file number

802-131831

Source date

February 2, 2026
ADENIA PARTNERS LTD
Exempt reporting adviser

SEC file number

802-131090

Source date

February 11, 2026
ADG WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-81006

Source date

February 25, 2026
ADIRONDACK CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-115148

Source date

March 17, 2026
ADIRONDACK FINANCIAL SERVICES CORP
Investment adviser

SEC file number

801-64779

Source date

May 22, 2026
ADIRONDACK RESEARCH & MANAGEMENT INC.
Investment adviser

SEC file number

801-63015

Source date

March 26, 2026
ADIT VENTURES MANAGEMENT, LLC
Investment adviser

SEC file number

801-130108

Source date

March 31, 2026
ADITUM BIO MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-117529

Source date

March 31, 2026
ADJACENT VENTURES LLC
Exempt reporting adviser

SEC file number

802-118903

Source date

April 14, 2026
ADJUVANT CAPITAL, LP
Exempt reporting adviser

SEC file number

802-129182

Source date

March 27, 2026
ADKINS SEALE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-77795

Source date

February 22, 2026
ADLERBERG CAPITAL LLC
Exempt reporting adviser

SEC file number

802-137455

Source date

September 4, 2026
ADMIRAL CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-114828

Source date

February 19, 2026
ADOLOS ASSET MANAGEMENT
Investment adviser

SEC file number

801-121805

Source date

February 20, 2026
ADP STRATEGIC PLAN SERVICES, LLC
Investment adviser

SEC file number

801-109013

Source date

September 18, 2026
ADV PARTNERS CAPITAL MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-108597

Source date

March 30, 2026
ADVAITA CAPITAL LLC
Investment adviser

SEC file number

801-136942

Source date

September 24, 2026
ADVANCE CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-28092

Source date

March 26, 2026
ADVANCE GLOBAL CAPITAL LTD.
Exempt reporting adviser

SEC file number

802-108172

Source date

March 27, 2026
ADVANCED ADVISOR GROUP, LLC
Investment adviser

SEC file number

801-118465

Source date

March 3, 2026
ADVANCED ASSET MANAGEMENT ADVISORS, INC.
Investment adviser

SEC file number

801-61760

Source date

March 30, 2026
ADVANCED CAPITAL GROUP, INC.
Investment adviser

SEC file number

801-65944

Source date

March 20, 2026
ADVANCED FINANCIAL STRATEGIES INC
Investment adviser

SEC file number

801-57835

Source date

March 31, 2026
ADVANCED PLANNING ADVISORS GROUP INC.
Investment adviser

SEC file number

801-135718

Source date

August 11, 2026
ADVANCED PORTFOLIO MANAGEMENT, LLC
Investment adviser

SEC file number

801-66005

Source date

September 17, 2026
ADVANCED RETIREMENT SOLUTIONS, LLC
Investment adviser

SEC file number

801-126168

Source date

March 24, 2026
ADVANCED WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-136416

Source date

August 17, 2026
ADVANCIT CAPITAL ADVISORS LLC
Exempt reporting adviser

SEC file number

802-124864

Source date

March 3, 2026
ADVANTAGE ADVISERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-55640

Source date

May 1, 2026
ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.
Investment adviser

SEC file number

801-57013

Source date

May 1, 2026
ADVANTAGE CAPITAL INVESTMENT ADVISER, LLC
Investment adviser

SEC file number

801-80355

Source date

May 14, 2026
ADVANTAGE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-79707

Source date

September 22, 2026
ADVANTAGE INVESTING, INC.
Investment adviser

SEC file number

801-130325

Source date

February 20, 2026
ADVANTAGE PARTNERS PTE. LTD.
Exempt reporting adviser

SEC file number

802-127106

Source date

February 3, 2026
ADVANTECH CAPITAL ADVISORS II LIMITED
Exempt reporting adviser

SEC file number

802-115078

Source date

March 18, 2026
ADVANTECH CAPITAL ADVISORS LTD.
Exempt reporting adviser

SEC file number

802-106945

Source date

March 18, 2026
ADVAYA LLP
Exempt reporting adviser

SEC file number

802-131845

Source date

May 28, 2026
ADVENT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-60263

Source date

March 30, 2026
ADVENT GLOBAL OPPORTUNITIES MANAGEMENT LLC
Investment adviser

SEC file number

801-81173

Source date

March 31, 2026
ADVENT INTERNATIONAL, L.P.
Investment adviser

SEC file number

801-29357

Source date

August 14, 2026
ADVENT LIFE SCIENCES LLP
Exempt reporting adviser

SEC file number

802-92178

Source date

March 26, 2026
ADVENT PARTNERS PTY LTD
Exempt reporting adviser

SEC file number

802-79953

Source date

December 19, 2025
ADVENT-MORRO EQUITY PARTNERS, INC.
Exempt reporting adviser

SEC file number

802-75832

Source date

September 23, 2026
ADVERB VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-128208

Source date

March 19, 2026
ADVICE & PLANNING SERVICES LLC
Investment adviser

SEC file number

801-120211

Source date

March 2, 2026
ADVICE ONLY, PBC
Investment adviser

SEC file number

801-135290

Source date

August 5, 2026
ADVICEONE ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-62125

Source date

July 17, 2026
ADVISIFI LLC
Investment adviser

SEC file number

801-130953

Source date

March 31, 2026
ADVISOR COMPLIANCE PARTNERS LLC
Investment adviser

SEC file number

801-134461

Source date

April 28, 2026
ADVISOR FINANCIAL SERVICES INC
Investment adviser

SEC file number

801-113326

Source date

August 3, 2026
ADVISOR LOGISTICS, LLC
Investment adviser

SEC file number

801-112585

Source date

March 20, 2026
ADVISOR OS LLC
Investment adviser

SEC file number

801-110639

Source date

March 31, 2026
ADVISOR PARTNERS II, LLC
Investment adviser

SEC file number

801-125744

Source date

March 31, 2026
ADVISOR RESOURCE COUNCIL
Investment adviser

SEC file number

801-76667

Source date

March 31, 2026
ADVISOR SHARE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-127122

Source date

September 9, 2026
ADVISORENGINE PORTFOLIO SOLUTIONS INC.
Investment adviser

SEC file number

801-134392

Source date

June 18, 2026
ADVISORNET FINANCIAL, INC.
Investment adviser

SEC file number

801-77035

Source date

March 25, 2026
ADVISORS ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-62731

Source date

August 13, 2026
ADVISORS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-62058

Source date

September 8, 2026
ADVISORS CRYPTO, INC.
Investment adviser

SEC file number

801-121191

Source date

March 31, 2026
ADVISORS FINANCIAL, INC.
Investment adviser

SEC file number

801-80263

Source date

June 30, 2026
ADVISORS MANAGEMENT GROUP INC
Investment adviser

SEC file number

801-33545

Source date

March 20, 2026
ADVISORS PREFERRED LLC
Investment adviser

SEC file number

801-72430

Source date

March 30, 2026
ADVISORSHARES INVESTMENTS, LLC
Investment adviser

SEC file number

801-70457

Source date

March 12, 2026
ADVISORTRUST PARTNERS, LLC
Investment adviser

SEC file number

801-134387

Source date

May 27, 2026
ADVISORY ADVOCATES LLC
Investment adviser

SEC file number

801-135477

Source date

March 23, 2026
ADVISORY ALPHA, LLC
Investment adviser

SEC file number

801-72499

Source date

March 31, 2026
ADVISORY INVESTOR SERVICES LLC
Investment adviser

SEC file number

801-122774

Source date

July 6, 2026
ADVISORY RESEARCH INC
Investment adviser

SEC file number

801-14172

Source date

March 20, 2026
ADVISORY SERVICES NETWORK, LLC
Investment adviser

SEC file number

801-71112

Source date

September 18, 2026
ADVISORY SOLUTIONS GROUP, LLC
Investment adviser

SEC file number

801-135130

Source date

September 22, 2026
ADVOCACY FINANCIAL LLC
Investment adviser

SEC file number

801-136057

Source date

April 28, 2026
ADVOCACY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-77677

Source date

August 3, 2026
ADVOCATE INVESTING SERVICES, LLC
Investment adviser

SEC file number

801-125692

Source date

March 11, 2026
ADVR, INC
Investment adviser

SEC file number

801-128856

Source date

March 30, 2026
ADVUS FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-120458

Source date

July 28, 2026
ADVYZON INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-123361

Source date

April 1, 2026
ADW CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-113599

Source date

March 31, 2026
AE INDUSTRIAL PARTNERS, LP
Investment adviser

SEC file number

801-95172

Source date

March 31, 2026
AE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-107319

Source date

August 13, 2026
AEA ENTERPRISE PARTNERS MANAGEMENT LP
Investment adviser

SEC file number

801-63692

Source date

June 4, 2026
AEA QP ADVISERS LLC
Investment adviser

SEC file number

801-61722

Source date

June 4, 2026
AEB CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-78855

Source date

February 9, 2026
AEC HOLDINGS, L.P.
Exempt reporting adviser

SEC file number

802-118721

Source date

March 13, 2026
AECOM CAPITAL REAL ESTATE, LLC
Investment adviser

SEC file number

801-113922

Source date

December 20, 2025
AECOM-CANYON PARTNERS REAL ESTATE FUND ADVISORS LLC
Investment adviser

SEC file number

801-113602

Source date

March 27, 2026
AEGIS CAPITAL CORP.
Investment adviser

SEC file number

801-71386

Source date

August 25, 2026
AEGIS FINANCIAL CORPORATION
Investment adviser

SEC file number

801-46901

Source date

July 28, 2026
AEGIS WEALTH GROUP, LLC
Investment adviser

SEC file number

801-116983

Source date

July 22, 2026
AEGIS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-64004

Source date

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

SEC file number

801-117179

Source date

August 11, 2026
AEGIS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-96327

Source date

March 31, 2026
AEGON ASSET MANAGEMENT UK PLC
Investment adviser

SEC file number

801-111656

Source date

March 27, 2026
AEGON USA INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-60667

Source date

March 27, 2026
AEGON USA REALTY ADVISORS, LLC
Investment adviser

SEC file number

801-110854

Source date

March 27, 2026
AEM ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-119397

Source date

March 30, 2026
AEOLUS INVESTMENT ADVISERS LTD.
Exempt reporting adviser

SEC file number

802-131938

Source date

March 30, 2026
AEON INVESTMENTS LIMITED
Exempt reporting adviser

SEC file number

802-135324

Source date

January 13, 2026
AEONEA LIMITED
Exempt reporting adviser

SEC file number

802-133848

Source date

March 13, 2026
AEQUIM ALTERNATIVE INVESTMENTS LP
Investment adviser

SEC file number

801-112992

Source date

March 23, 2026
AEQUITAS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-110328

Source date

March 27, 2026
AERA FUNDS MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-123226

Source date

March 30, 2026
AEREF MANAGEMENT, LLC
Investment adviser

SEC file number

801-128798

Source date

March 31, 2026
AERIE ADVISORY GROUP LLC
Investment adviser

SEC file number

801-131472

Source date

July 21, 2026
AERMONT CAPITAL LLP
Exempt reporting adviser

SEC file number

802-75745

Source date

March 27, 2026
AERMONT CAPITAL MANAGEMENT S.A R.L.
Exempt reporting adviser

SEC file number

802-114333

Source date

March 30, 2026
AERMONT ITALY S.R.L.
Exempt reporting adviser

SEC file number

802-136000

Source date

March 26, 2026
AERODIGM WEALTH LLC
Investment adviser

SEC file number

801-118278

Source date

July 15, 2026
AESTUS CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-125713

Source date

March 24, 2026
AETERNITAS INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-136781

Source date

July 15, 2026
AETHER INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-70573

Source date

March 2, 2026
AETHON ENERGY MANAGEMENT LLC
Investment adviser

SEC file number

801-80612

Source date

August 14, 2026
AETNA ASSET ADVISORS, LLC
Investment adviser

SEC file number

801-73710

Source date

March 20, 2026
AETOS ALTERNATIVES MANAGEMENT, L.P.
Investment adviser

SEC file number

801-60760

Source date

March 25, 2026
AETOS CAPITAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-131792

Source date

March 31, 2026
AEVF GP LP
Exempt reporting adviser

SEC file number

802-132478

Source date

March 27, 2026
AEW CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-53421

Source date

March 31, 2026
AF ADVISORS, INC.
Investment adviser

SEC file number

801-114137

Source date

March 16, 2026
AF SERIES, LLC
Exempt reporting adviser

SEC file number

802-123483

Source date

March 23, 2026
AF VC, LLC
Exempt reporting adviser

SEC file number

802-114351

Source date

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

SEC file number

802-136397

Source date

April 30, 2026
AFBI LP
Investment adviser

SEC file number

801-131230

Source date

September 22, 2026
AFC INSTITUTIONAL FUND MANAGER LLC
Exempt reporting adviser

SEC file number

802-127589

Source date

March 31, 2026
AFC MANAGEMENT, LLC
Investment adviser

SEC file number

801-121055

Source date

March 31, 2026
AFF FUND MANAGER, LLC
Investment adviser

SEC file number

801-110954

Source date

March 27, 2026
AFF FUNDS, LLC
Exempt reporting adviser

SEC file number

802-132687

Source date

March 30, 2026
AFFIANCE FINANCIAL LLC
Investment adviser

SEC file number

801-78208

Source date

June 10, 2026
AFFILIATED CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-135015

Source date

March 23, 2026
AFFILIATED FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-57519

Source date

February 27, 2026
AFFILIATED PRIVATE INVESTORS LLC
Investment adviser

SEC file number

801-49946

Source date

March 30, 2026
AFFINITY ASSET ADVISORS, LLC
Investment adviser

SEC file number

801-120744

Source date

July 27, 2026
AFFINITY CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-81133

Source date

July 23, 2026
AFFINITY EQUITY PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-74620

Source date

March 30, 2026
AFFINITY INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-42015

Source date

March 27, 2026
AFFINITY INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-61181

Source date

September 9, 2026
AFFINITY WEALTH LLC
Investment adviser

SEC file number

801-131529

Source date

August 11, 2026
AFFINITY WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-112231

Source date

April 10, 2026
AFFINIUS CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-122540

Source date

August 24, 2026
AFFIRMA CAPITAL MANAGERS (SINGAPORE) PTE. LTD
Exempt reporting adviser

SEC file number

802-133772

Source date

March 25, 2026
AFFORDABLE CENTRAL TEXAS, INC.
Exempt reporting adviser

SEC file number

802-122462

Source date

March 31, 2026
AFG FIDUCIARY SERVICES LIMITED PARTNERSHIP
Investment adviser

SEC file number

801-119539

Source date

March 5, 2026
AFI CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-121107

Source date

July 2, 2025
AFINITIV LLC
Investment adviser

SEC file number

801-117750

Source date

September 24, 2026
AFINUM MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-111065

Source date

March 23, 2026
AFLAC ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-120174

Source date

March 31, 2026
AFO LIMITED, LLC
Exempt reporting adviser

SEC file number

802-119508

Source date

February 25, 2026
AFORE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-110177

Source date

March 24, 2026
AFRICA MUTUAL GLOBAL INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-130678

Source date

March 25, 2026
AFRICAN INFRASTRUCTURE INVESTMENT MANAGERS PROPRIETARY LIMITED
Exempt reporting adviser

SEC file number

802-130409

Source date

March 31, 2026
AFRICINVEST GLOBAL MANCO
Exempt reporting adviser

SEC file number

802-122155

Source date

March 30, 2026
AFS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-137139

Source date

September 11, 2026
AFT US CAPITAL LLC
Investment adviser

SEC file number

801-134095

Source date

March 27, 2026
AFT, FORSYTH & SOBER, LLC
Investment adviser

SEC file number

801-76925

Source date

May 20, 2026
AFT, FORSYTH AND COMPANY, INC.
Investment adviser

SEC file number

801-64757

Source date

May 15, 2026
AFTON ADVISORS, LLC
Investment adviser

SEC file number

801-135419

Source date

January 27, 2026
AFTON CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-133787

Source date

May 30, 2025
AG (AUSTRALIAN GULF) CAPITAL LIMITED LIABILITY COMPANY
Exempt reporting adviser

SEC file number

802-131746

Source date

March 24, 2026
AG ASSET ADVISORY, LLC
Investment adviser

SEC file number

801-80760

Source date

March 5, 2026
AG DILLON ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-136045

Source date

June 5, 2026
AG FINANCIAL, LLC
Investment adviser

SEC file number

801-66579

Source date

February 20, 2026
AG GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-71972

Source date

March 31, 2026
AGA MANCO LP
Exempt reporting adviser

SEC file number

802-137208

Source date

July 31, 2026
AGAMERICA LENDING LLC
Investment adviser

SEC file number

801-112914

Source date

August 10, 2026
AGATE CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-119738

Source date

March 9, 2026
AGATE PASS INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-115003

Source date

March 3, 2026
AGAVE CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-133882

Source date

March 30, 2026