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 33 of 95

FIKA MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-124950

Source date

March 31, 2026
FIL INVESTMENT ADVISORS
Investment adviser

SEC file number

801-21347

Source date

March 31, 2026
FIL INVESTMENT ADVISORS (UK) LTD.
Investment adviser

SEC file number

801-23620

Source date

July 1, 2026
FIL INVESTMENTS (JAPAN) LIMITED
Investment adviser

SEC file number

801-45731

Source date

March 31, 2026
FILIGREE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-123362

Source date

March 18, 2026
FILLMORE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-73276

Source date

March 26, 2026
FILTER CAPITAL INDIA ADVISORS LLP
Exempt reporting adviser

SEC file number

802-126993

Source date

June 25, 2026
FIMI 4 2007 LTD
Exempt reporting adviser

SEC file number

802-75081

Source date

March 30, 2026
FIMI 5 2012, LTD.
Exempt reporting adviser

SEC file number

802-107476

Source date

March 30, 2026
FIMI 6 2016, LTD.
Exempt reporting adviser

SEC file number

802-107475

Source date

March 30, 2026
FIMI 7 2020 LTD.
Exempt reporting adviser

SEC file number

802-123692

Source date

March 3, 2026
FIMI OPPORTUNITY 2005, LTD.
Exempt reporting adviser

SEC file number

802-107604

Source date

March 30, 2026
FIN VENTURE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-126027

Source date

August 20, 2026
FINACCESS ADVISORS LLC
Investment adviser

SEC file number

801-71013

Source date

August 25, 2026
FINALITY CP MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135937

Source date

March 23, 2026
FINAMEX ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-135018

Source date

September 14, 2026
FINANCE IN MOTION ASSET MANAGEMENT SARL
Exempt reporting adviser

SEC file number

802-135103

Source date

March 5, 2026
FINANCEHQ LLC
Investment adviser

SEC file number

801-127505

Source date

September 23, 2026
FINANCES FOR REAL LIFE
Investment adviser

SEC file number

801-135953

Source date

June 3, 2026
FINANCIAL & TAX ARCHITECTS, LLC
Investment adviser

SEC file number

801-114688

Source date

June 18, 2026
FINANCIAL ACTION, INC.
Investment adviser

SEC file number

801-135990

Source date

September 4, 2026
FINANCIAL ADVISORS NETWORK, INC.
Investment adviser

SEC file number

801-74613

Source date

March 30, 2026
FINANCIAL ADVISORY CORPORATION
Investment adviser

SEC file number

801-33761

Source date

February 3, 2026
FINANCIAL ADVISORY PARTNERS, LLC
Investment adviser

SEC file number

801-120062

Source date

July 22, 2026
FINANCIAL ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-113557

Source date

March 26, 2026
FINANCIAL ALTERNATIVES, INC.
Investment adviser

SEC file number

801-57864

Source date

March 13, 2026
FINANCIAL ARCHITECTS, LLC
Investment adviser

SEC file number

801-125000

Source date

February 4, 2026
FINANCIAL ARCITECTS, INC
Investment adviser

SEC file number

801-120307

Source date

February 9, 2026
FINANCIAL ASSET MANAGEMENT CORP
Investment adviser

SEC file number

801-27858

Source date

March 18, 2026
FINANCIAL AVENGERS, INC.
Investment adviser

SEC file number

801-78015

Source date

March 30, 2026
FINANCIAL AVENUES LLC
Investment adviser

SEC file number

801-134945

Source date

March 31, 2026
FINANCIAL CONCEPTS UNLIMITED, INC.
Investment adviser

SEC file number

801-61345

Source date

March 29, 2026
FINANCIAL CONSULTANTS & ADVISORY CORPORATION
Investment adviser

SEC file number

801-119736

Source date

March 24, 2026
FINANCIAL CONSULTANTS GROUP INC
Investment adviser

SEC file number

801-123013

Source date

July 22, 2026
FINANCIAL COUNCIL, LLC
Investment adviser

SEC file number

801-51360

Source date

May 13, 2026
FINANCIAL COUNSELING ASSOCIATES, INC.
Investment adviser

SEC file number

801-79159

Source date

February 4, 2026
FINANCIAL COUNSELING, INC.
Investment adviser

SEC file number

801-114518

Source date

April 20, 2026
FINANCIAL COUNSELORS INC
Investment adviser

SEC file number

801-48195

Source date

March 12, 2026
FINANCIAL DECISIONS, LLC
Investment adviser

SEC file number

801-39858

Source date

August 17, 2026
FINANCIAL DESIGN GROUP, LLC
Investment adviser

SEC file number

801-134407

Source date

January 6, 2026
FINANCIAL DESIGN STUDIO, INC.
Investment adviser

SEC file number

801-134607

Source date

July 16, 2026
FINANCIAL DESIGNS CORPORATION
Investment adviser

SEC file number

801-49374

Source date

January 27, 2026
FINANCIAL DESIGNS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-128134

Source date

June 16, 2026
FINANCIAL DIRECTIONS LLC
Investment adviser

SEC file number

801-56919

Source date

March 24, 2026
FINANCIAL ELEMENTS, INC
Investment adviser

SEC file number

801-132180

Source date

February 12, 2026
FINANCIAL EMPOWERMENT LLC
Investment adviser

SEC file number

801-136104

Source date

March 31, 2026
FINANCIAL ENGINES ADVISORS L.L.C.
Investment adviser

SEC file number

801-55196

Source date

July 24, 2026
FINANCIAL ENHANCEMENT GROUP LLC
Investment adviser

SEC file number

801-72907

Source date

September 23, 2026
FINANCIAL FOCUS LLC
Investment adviser

SEC file number

801-112408

Source date

January 29, 2026
FINANCIAL FORUM, INC.
Investment adviser

SEC file number

801-118241

Source date

August 4, 2026
FINANCIAL FREEDOM FOR DENTISTS LLC
Investment adviser

SEC file number

801-122541

Source date

June 30, 2026
FINANCIAL FREEDOM, LLC
Investment adviser

SEC file number

801-63647

Source date

March 13, 2026
FINANCIAL FUTURES LIMITED LIABILITY COMPANY
Investment adviser

SEC file number

801-120637

Source date

March 18, 2026
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-109923

Source date

December 23, 2025
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
Investment adviser

SEC file number

801-122258

Source date

January 12, 2026
FINANCIAL GUIDANCE GROUP, INC.
Investment adviser

SEC file number

801-80958

Source date

March 25, 2026
FINANCIAL HARVEST, LLC
Investment adviser

SEC file number

801-112271

Source date

February 19, 2026
FINANCIAL HORIZONS, INC.
Investment adviser

SEC file number

801-10905

Source date

March 30, 2026
FINANCIAL INDEPENDENCE ADVISORS, LLC
Investment adviser

SEC file number

801-127735

Source date

January 30, 2026
FINANCIAL INDEPENDENCE, LLC
Investment adviser

SEC file number

801-120254

Source date

July 30, 2026
FINANCIAL INNOVATIONS, LLC
Investment adviser

SEC file number

801-67516

Source date

March 20, 2026
FINANCIAL INSIGHTS INC
Investment adviser

SEC file number

801-21624

Source date

June 2, 2026
FINANCIAL INSTITUTION SERVICES, LLC
Investment adviser

SEC file number

801-125970

Source date

April 7, 2026
FINANCIAL INTEGRITY ADVISORS, LLC
Investment adviser

SEC file number

801-127951

Source date

September 17, 2026
FINANCIAL INVESTMENT TEAM, INC.
Investment adviser

SEC file number

801-114111

Source date

February 26, 2026
FINANCIAL JUNK, LLC
Exempt reporting adviser

SEC file number

802-77956

Source date

July 30, 2026
FINANCIAL JUSTUS, LLC
Investment adviser

SEC file number

801-133749

Source date

February 2, 2026
FINANCIAL LEGACY MANAGEMENT, INC.
Investment adviser

SEC file number

801-131149

Source date

April 7, 2026
FINANCIAL LIFE ADVISORS LLC
Investment adviser

SEC file number

801-111024

Source date

March 18, 2026
FINANCIAL LIFE PLANNERS LLC
Investment adviser

SEC file number

801-127888

Source date

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

SEC file number

801-122762

Source date

February 24, 2026
FINANCIAL MANAGEMENT ASSOCIATES, LLC
Investment adviser

SEC file number

801-128596

Source date

September 4, 2026
FINANCIAL MANAGEMENT NETWORK INC
Investment adviser

SEC file number

801-40473

Source date

December 19, 2025
FINANCIAL MANAGEMENT PROFESSIONALS INC
Investment adviser

SEC file number

801-30367

Source date

July 16, 2026
FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC.
Investment adviser

SEC file number

801-71764

Source date

September 25, 2026
FINANCIAL MANAGEMENT STRATEGIES, INC.
Investment adviser

SEC file number

801-66641

Source date

March 31, 2026
FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-126707

Source date

April 24, 2026
FINANCIAL MOUNTAIN INC
Investment adviser

SEC file number

801-135216

Source date

December 22, 2025
FINANCIAL NETWORK SPECIALISTS LLC
Investment adviser

SEC file number

801-132100

Source date

February 4, 2026
FINANCIAL NETWORK WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-123661

Source date

March 27, 2026
FINANCIAL PARTNERS GROUP, INC.
Investment adviser

SEC file number

801-111662

Source date

March 30, 2026
FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-110092

Source date

March 31, 2026
FINANCIAL PERSPECTIVES, INC.
Investment adviser

SEC file number

801-97343

Source date

March 25, 2026
FINANCIAL PLAN, INC.
Investment adviser

SEC file number

801-77339

Source date

March 16, 2026
FINANCIAL PLANNING FIRST, LLC
Investment adviser

SEC file number

801-134756

Source date

March 9, 2026
FINANCIAL PLANNING FORT COLLINS, LLC
Investment adviser

SEC file number

801-130854

Source date

March 23, 2026
FINANCIAL PLANNING HAWAII, INC.
Investment adviser

SEC file number

801-135122

Source date

September 8, 2026
FINANCIAL PLANNING NAVIGATORS CORP
Investment adviser

SEC file number

801-131251

Source date

January 27, 2026
FINANCIAL PLANNING SERVICES, INC.
Investment adviser

SEC file number

801-119824

Source date

June 17, 2026
FINANCIAL PLANS & STRATEGIES, INC.
Investment adviser

SEC file number

801-107206

Source date

July 29, 2026
FINANCIAL POTENTIAL, LLC
Investment adviser

SEC file number

801-136761

Source date

August 6, 2026
FINANCIAL SCAFFOLDING, LLC
Investment adviser

SEC file number

801-128843

Source date

February 18, 2026
FINANCIAL SECURITY ADVISORY INC
Investment adviser

SEC file number

801-54496

Source date

September 4, 2026
FINANCIAL SECURITY MANAGEMENT, INC
Investment adviser

SEC file number

801-81072

Source date

May 21, 2026
FINANCIAL SENSE ADVISORS, INC.
Investment adviser

SEC file number

801-25937

Source date

August 31, 2026
FINANCIAL SERVICE GROUP INC
Investment adviser

SEC file number

801-41991

Source date

September 10, 2026
FINANCIAL SOLUTIONS ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-62068

Source date

March 25, 2026
FINANCIAL STRATEGIES GROUP, INC
Investment adviser

SEC file number

801-110898

Source date

March 25, 2026
FINANCIAL STRATEGIES, INC.
Investment adviser

SEC file number

801-125921

Source date

September 15, 2026
FINANCIAL SYMMETRY INCORPORATED
Investment adviser

SEC file number

801-62698

Source date

May 27, 2026
FINANCIAL SYNERGIES WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-30106

Source date

June 24, 2026
FINANCIAL TRUST ASSET MANAGEMENT CHARTERED
Investment adviser

SEC file number

801-132258

Source date

August 3, 2026
FINANCIALLY SPEAKING INC
Investment adviser

SEC file number

801-38948

Source date

March 24, 2026
FINARC INVESTMENTS, INC.
Investment adviser

SEC file number

801-110450

Source date

March 27, 2026
FINBACK INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-121929

Source date

March 31, 2026
FINCADIA ADVISORS LLC
Investment adviser

SEC file number

801-135533

Source date

March 6, 2026
FINCH BAY CAPITAL LLP
Exempt reporting adviser

SEC file number

802-131223

Source date

August 6, 2025
FINDEC WEALTH SERVICES, INC.
Investment adviser

SEC file number

801-120139

Source date

March 23, 2026
FINDELL CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-129926

Source date

July 22, 2026
FINDICIA, INC.
Investment adviser

SEC file number

801-136367

Source date

April 27, 2026
FINE CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-73740

Source date

May 5, 2026
FINEC ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-132849

Source date

March 18, 2026
FINEPOINT CAPITAL LP
Investment adviser

SEC file number

801-79330

Source date

March 24, 2026
FINER WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-121773

Source date

July 2, 2026
FINEX LLP
Exempt reporting adviser

SEC file number

802-128671

Source date

May 1, 2026
FINGAGE ADVISORS LLC
Investment adviser

SEC file number

801-107460

Source date

March 30, 2026
FINGERLAKES WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-69987

Source date

April 23, 2026
FINHABITS ADVISORS, LLC
Investment adviser

SEC file number

801-104472

Source date

March 26, 2026
FINIAT, LLC
Investment adviser

SEC file number

801-129206

Source date

June 26, 2026
FININT INFRASTRUTTURE SGR S.P.A.
Exempt reporting adviser

SEC file number

802-136948

Source date

June 30, 2026
FINISH WELL RIA LLC
Investment adviser

SEC file number

801-136477

Source date

June 25, 2026
FINIVI INC.
Investment adviser

SEC file number

801-112470

Source date

July 8, 2026
FINLEY FINANCIAL, LLC
Investment adviser

SEC file number

801-110657

Source date

January 26, 2026
FINORYAQ CAPITAL
Exempt reporting adviser

SEC file number

802-135648

Source date

February 23, 2026
FINQ AI LLC
Investment adviser

SEC file number

801-128591

Source date

February 10, 2026
FINSER INVESTMENT ADVISOR
Investment adviser

SEC file number

801-67528

Source date

September 14, 2026
FINSYM PARTNERS, LLC
Investment adviser

SEC file number

801-122427

Source date

February 27, 2026
FINTECH COLLECTIVE MANAGEMENT LLC
Investment adviser

SEC file number

801-121471

Source date

September 8, 2026
FINTRADE SERVICES INC.
Exempt reporting adviser

SEC file number

802-87180

Source date

March 24, 2026
FINTRAVION BUSINESS ACADEMY LTD
Exempt reporting adviser

SEC file number

802-136308

Source date

April 20, 2026
FINVISOR SPV LLC
Exempt reporting adviser

SEC file number

802-132491

Source date

March 30, 2026
FINYX (CYPRUS) INVESTMENTS LTD
Exempt reporting adviser

SEC file number

802-129317

Source date

March 24, 2026
FIO ADVISORS LP
Investment adviser

SEC file number

801-130912

Source date

March 25, 2026
FIRE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128262

Source date

July 14, 2026
FIREBIRD MANAGEMENT, LLC
Investment adviser

SEC file number

801-73500

Source date

March 31, 2026
FIREBOLT VENTURES MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-79831

Source date

March 31, 2026
FIRESIDE INVESTMENT ADVISORY LLP
Exempt reporting adviser

SEC file number

802-135034

Source date

June 26, 2026
FIRESIDE VENTURES ADVISORY LLP
Exempt reporting adviser

SEC file number

802-135033

Source date

June 26, 2026
FIRESTONE CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-40397

Source date

June 24, 2026
FIRETHORN PARTNERS, LLC
Investment adviser

SEC file number

801-111639

Source date

March 27, 2026
FIRETHORN WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-113690

Source date

July 27, 2026
FIREWEED VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132634

Source date

March 30, 2026
FIREWORK FUSE MANAGEMENT HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-128314

Source date

March 30, 2026
FIREWORK VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-123450

Source date

March 30, 2026
FIREX21 CAPITAL LTD
Exempt reporting adviser

SEC file number

802-133015

Source date

May 16, 2025
FIRMAMENT ADVISORS PARALLEL IV, LLC
Exempt reporting adviser

SEC file number

802-128108

Source date

March 5, 2026
FIRREO INC.
Investment adviser

SEC file number

801-127688

Source date

July 24, 2026
FIRST ADVISORS NATIONAL, LLC
Investment adviser

SEC file number

801-77440

Source date

March 30, 2026
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
Investment adviser

SEC file number

801-56587

Source date

May 22, 2026
FIRST AMERICAN ASSET ADVISORY, LLC.
Investment adviser

SEC file number

801-126067

Source date

March 31, 2026
FIRST ANALYSIS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-74366

Source date

May 10, 2026
FIRST ASSOCIATED INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-60972

Source date

June 16, 2026
FIRST AVENUE VENTURES GP, LLC
Exempt reporting adviser

SEC file number

802-131919

Source date

March 29, 2026
FIRST BEIJING INVESTMENT LIMITED
Exempt reporting adviser

SEC file number

802-77740

Source date

March 31, 2026
FIRST CITIZENS ASSET MANAGEMENT, INC
Investment adviser

SEC file number

801-79917

Source date

May 27, 2026
FIRST CITIZENS INSTITUTIONAL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-110171

Source date

March 30, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
Investment adviser

SEC file number

801-57302

Source date

September 17, 2026
FIRST CITY CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-14853

Source date

March 31, 2026
FIRST CLOSE PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132480

Source date

March 26, 2026
FIRST COMMAND ADVISORY SERVICES
Investment adviser

SEC file number

801-56942

Source date

July 21, 2026
FIRST COMMIT IM O�
Exempt reporting adviser

SEC file number

802-130669

Source date

April 3, 2026
FIRST DALLAS SECURITIES, INC.
Investment adviser

SEC file number

801-66208

Source date

October 31, 2025
FIRST EAGLE ALTERNATIVE CREDIT, LLC
Investment adviser

SEC file number

801-71201

Source date

June 30, 2026
FIRST EAGLE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-50659

Source date

August 3, 2026
FIRST EAGLE SEPARATE ACCOUNT MANAGEMENT, LLC
Investment adviser

SEC file number

801-116996

Source date

July 30, 2026
FIRST ENDOWMENT DEVELOPMENT CORP
Investment adviser

SEC file number

801-22496

Source date

May 22, 2026
FIRST FIDUCIARY INVESTMENT COUNSEL INC
Investment adviser

SEC file number

801-11685

Source date

March 27, 2026
FIRST FINANCIAL ADVISORY SERVICES INC
Investment adviser

SEC file number

801-20623

Source date

April 21, 2026
FIRST FINANCIAL COACHING, INC.
Investment adviser

SEC file number

801-128612

Source date

May 6, 2026
FIRST FINANCIAL GROUP CORPORATION
Investment adviser

SEC file number

801-112777

Source date

May 28, 2026
FIRST FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-129538

Source date

August 31, 2026
FIRST FOUNDATION ADVISORS
Investment adviser

SEC file number

801-35973

Source date

July 29, 2026
FIRST GENERATION HOLDINGS LLC
Exempt reporting adviser

SEC file number

802-132005

Source date

March 31, 2026
FIRST GEORGETOWN SECURITIES, INC.
Investment adviser

SEC file number

801-136757

Source date

August 12, 2026
FIRST GLOBAL (UK) LIMITED
Investment adviser

SEC file number

801-121177

Source date

June 30, 2026
FIRST GROWTH CAPITAL LLC
Investment adviser

SEC file number

801-117538

Source date

March 17, 2026
FIRST GROWTH INVESTMENT MANAGER LP
Exempt reporting adviser

SEC file number

802-128695

Source date

March 30, 2026
FIRST HARMONIC GROUP LLC
Exempt reporting adviser

SEC file number

802-132436

Source date

March 30, 2026
FIRST HEARTLAND CONSULTANTS, INC.
Investment adviser

SEC file number

801-46595

Source date

July 13, 2026
FIRST IN VENTURES MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-137437

Source date

September 3, 2026
FIRST KENTUCKY SECURITIES CORPORATION
Investment adviser

SEC file number

801-67742

Source date

December 2, 2025
FIRST LIGHT ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-78528

Source date

March 24, 2026
FIRST LIGHT RETIREMENT, LLC
Investment adviser

SEC file number

801-121422

Source date

September 17, 2026
FIRST LIGHT WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135978

Source date

September 15, 2026
FIRST LONG ISLAND INVESTORS, LLC
Investment adviser

SEC file number

801-21607

Source date

March 31, 2026
FIRST LOOK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-134742

Source date

February 9, 2026
FIRST MANHATTAN CO. LLC
Investment adviser

SEC file number

801-12411

Source date

August 13, 2026
FIRST MASON FINANCIAL, LLC
Investment adviser

SEC file number

801-72315

Source date

March 31, 2026
FIRST NATIONAL ADVISERS, LLC
Investment adviser

SEC file number

801-103473

Source date

June 16, 2026
FIRST NEBRASKA ADVISORY LLC
Investment adviser

SEC file number

801-114691

Source date

September 2, 2026
FIRST OAK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113049

Source date

August 26, 2026
FIRST PACIFIC ADVISORS, LP
Investment adviser

SEC file number

801-67160

Source date

July 20, 2026
FIRST PACIFIC FINANCIAL, INC.
Investment adviser

SEC file number

801-108251

Source date

May 12, 2026
FIRST PRINCIPLES GROUP MANAGEMENT, LLC
Investment adviser

SEC file number

801-130840

Source date

May 13, 2026
FIRST PRINCIPLES INVESTMENT MANAGER LLC
Exempt reporting adviser

SEC file number

802-122634

Source date

April 1, 2026
FIRST RESERVE MANAGEMENT, L.P.
Investment adviser

SEC file number

801-73789

Source date

May 8, 2026
FIRST SABREPOINT CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-115038

Source date

March 25, 2026
FIRST SENTIER INFRASTRUCTURE MANAGERS (INTERNATIONAL) LIMITED
Investment adviser

SEC file number

801-108194

Source date

September 21, 2026
FIRST SENTIER INVESTORS (AUSTRALIA) IM LTD
Investment adviser

SEC file number

801-73006

Source date

April 23, 2026
FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE MANAGERS PTY
Investment adviser

SEC file number

801-108195

Source date

September 21, 2026
FIRST SENTIER INVESTORS (AUSTRALIA) RE LTD
Investment adviser

SEC file number

801-108196

Source date

May 12, 2026
FIRST SENTIER INVESTORS (HONG KONG) LIMITED
Investment adviser

SEC file number

801-106686

Source date

September 21, 2026
FIRST SENTIER INVESTORS (IRELAND) LIMITED
Investment adviser

SEC file number

801-118194

Source date

June 15, 2026
FIRST SENTIER INVESTORS (SINGAPORE)
Investment adviser

SEC file number

801-77069

Source date

September 21, 2026
FIRST SENTIER INVESTORS (UK) FUNDS LIMITED
Investment adviser

SEC file number

801-79806

Source date

March 31, 2026
FIRST SENTIER INVESTORS (UK) IM LIMITED
Investment adviser

SEC file number

801-106688

Source date

March 31, 2026
FIRST SENTIER INVESTORS (US) LLC
Investment adviser

SEC file number

801-93167

Source date

May 27, 2026
FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED
Investment adviser

SEC file number

801-17900

Source date

June 16, 2026
FIRST SOURCE INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-126595

Source date

March 20, 2026
FIRST SPARK VENTURES, LLC
Exempt reporting adviser

SEC file number

802-125830

Source date

March 25, 2026
FIRST STEP WEALTH PLANNING, LLC
Investment adviser

SEC file number

801-132772

Source date

August 11, 2026
FIRST TRUST ADVISORS LP
Investment adviser

SEC file number

801-39950

Source date

April 30, 2026
FIRST TRUST CAPITAL MANAGEMENT L.P.
Investment adviser

SEC file number

801-122924

Source date

August 19, 2026
FIRST TRUST GLOBAL PORTFOLIOS LIMITED
Investment adviser

SEC file number

801-79653

Source date

March 31, 2026
FIRST TURN MANAGEMENT, LLC
Investment adviser

SEC file number

801-128649

Source date

March 25, 2026
FIRST WASHINGTON CORPORATION
Investment adviser

SEC file number

801-66192

Source date

December 18, 2025
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
Investment adviser

SEC file number

801-15260

Source date

May 5, 2026
FIRSTHAND CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-70365

Source date

July 31, 2026
FIRSTLOOK PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131141

Source date

March 29, 2026
FIRSTMARK CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-75700

Source date

March 31, 2026
FIRSTMETRIC, LLC
Investment adviser

SEC file number

801-117185

Source date

March 31, 2026
FIRSTMILE VENTURES, LLC
Exempt reporting adviser

SEC file number

802-122044

Source date

March 10, 2026
FIRSTMINUTE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-117892

Source date

February 23, 2026
FIRSTRUST LLC
Investment adviser

SEC file number

801-56812

Source date

September 3, 2026
FIRSTWAVE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135298

Source date

January 8, 2026
FISCAL WISDOM WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-119231

Source date

August 27, 2026
FISCHER FINANCIAL SERVICES INC
Investment adviser

SEC file number

801-31434

Source date

February 25, 2026
FISCHER INVESTMENT GROUP, INC.
Investment adviser

SEC file number

801-30304

Source date

September 11, 2026
FISCHER INVESTMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-116986

Source date

February 11, 2026
FISHER & WIENS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-108777

Source date

March 4, 2026
FISHER ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-29362

Source date

April 2, 2026
FISHER LYNCH CAPITAL, LLC
Investment adviser

SEC file number

801-74059

Source date

March 16, 2026
FISHER RETIREMENT SOLUTIONS LLC
Investment adviser

SEC file number

801-130272

Source date

June 4, 2026
FISHMAN JAY A LTD
Investment adviser

SEC file number

801-6618

Source date

March 30, 2026
FIT ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-130633

Source date

March 23, 2026
FITHIAN LLC
Investment adviser

SEC file number

801-111059

Source date

March 27, 2026
FITZROY INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-80828

Source date

March 31, 2026
FITZWALTER CAPITAL (US) LLC
Investment adviser

SEC file number

801-119898

Source date

March 31, 2026
FITZWALTER CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-122454

Source date

June 24, 2026
FITZWILLIAMS WEALTH MANAGEMENT INC.
Investment adviser

SEC file number

801-134941

Source date

September 15, 2026
FIVANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-132841

Source date

July 28, 2026
FIVE ARROWS MANAGERS (USA) LLC
Investment adviser

SEC file number

801-113013

Source date

March 30, 2026
FIVE ARROWS MANAGERS LLP
Exempt reporting adviser

SEC file number

802-133731

Source date

March 31, 2026
FIVE ARROWS MANAGERS NORTH AMERICA LLC
Investment adviser

SEC file number

801-64560

Source date

March 30, 2026
FIVE ELEVEN FAMILY OFFICE LLC
Investment adviser

SEC file number

801-131739

Source date

July 7, 2026
FIVE ELMS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-110914

Source date

June 1, 2026
FIVE MILE RIVER INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-136575

Source date

June 29, 2026
FIVE OCEANS ADVISORS LLC
Investment adviser

SEC file number

801-118502

Source date

January 23, 2026
FIVE PINE WEALTH MANAGEMENT INC.
Investment adviser

SEC file number

801-129131

Source date

February 9, 2026
FIVE POINT INFRASTRUCTURE LLC
Investment adviser

SEC file number

801-80993

Source date

April 24, 2026