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 40 of 95

GUTIERREZ FUNDS LLC
Exempt reporting adviser

SEC file number

802-134956

Source date

July 15, 2026
GUTIERREZ WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-126693

Source date

September 1, 2026
GUTT FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-47978

Source date

January 22, 2026
GUTTER CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-127424

Source date

July 11, 2025
GUYASUTA INVESTMENT ADVISORS, INCORPORATED
Investment adviser

SEC file number

801-47201

Source date

February 4, 2026
GV INVESTMENT MANAGERS, LLC
Exempt reporting adviser

SEC file number

802-113582

Source date

March 24, 2026
GVC AMERICAS, LLC
Exempt reporting adviser

SEC file number

802-127751

Source date

March 30, 2026
GVM ADVISORS LLC
Exempt reporting adviser

SEC file number

802-123589

Source date

March 31, 2026
GW ASENA PTY LTD
Investment adviser

SEC file number

801-128625

Source date

June 10, 2026
GW FINANCIAL, INC.
Investment adviser

SEC file number

801-18321

Source date

April 1, 2026
GW&K INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-61559

Source date

March 26, 2026
GWN SECURITIES INC.
Investment adviser

SEC file number

801-62547

Source date

April 13, 2026
GX VENTURES LLC
Exempt reporting adviser

SEC file number

802-136586

Source date

May 27, 2026
GYRUS CAPITAL SA
Exempt reporting adviser

SEC file number

802-132070

Source date

January 22, 2026
H CAPITAL MANAGEMENT COMPANY, LTD.
Exempt reporting adviser

SEC file number

802-108585

Source date

March 19, 2026
H I A - HELVETIA INVESTMENT ADVISORS SA
Investment adviser

SEC file number

801-79688

Source date

March 30, 2026
H INVESTMENT MANAGEMENT COMPANY, LTD.
Exempt reporting adviser

SEC file number

802-113616

Source date

March 19, 2026
H PARTNERS MANAGEMENT LLC
Investment adviser

SEC file number

801-73989

Source date

March 31, 2026
H SQUARED MANAGEMENT LP
Investment adviser

SEC file number

801-136776

Source date

July 6, 2026
H VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-122164

Source date

June 23, 2026
H&A INVESTMENT MANAGER LLC
Exempt reporting adviser

SEC file number

802-124965

Source date

April 6, 2026
H&H INTERNATIONAL INVESTMENT, LLC
Investment adviser

SEC file number

801-112873

Source date

September 17, 2026
H. BARTON ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-100358

Source date

March 31, 2026
H. C. DENISON CO.
Investment adviser

SEC file number

801-131334

Source date

March 23, 2026
H. L. ORMOND & COMPANY, LLC
Investment adviser

SEC file number

801-120841

Source date

May 1, 2026
H. M. PAYSON & CO.
Investment adviser

SEC file number

801-3901

Source date

March 31, 2026
H. S. DREHER CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-125002

Source date

February 13, 2026
H.I.G. CAPITAL, LLC
Investment adviser

SEC file number

801-74338

Source date

March 31, 2026
H.I.G. WHITEHORSE ADVISERS, LLC
Investment adviser

SEC file number

801-76984

Source date

March 31, 2026
H/2 CREDIT MANAGER LP
Investment adviser

SEC file number

801-73527

Source date

March 31, 2026
H/N MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-77048

Source date

March 11, 2026
H2 EQUITY PARTNERS B.V.
Exempt reporting adviser

SEC file number

802-75396

Source date

March 31, 2026
H2 EQUITY PARTNERS FUND MANAGEMENT B.V.
Exempt reporting adviser

SEC file number

802-108149

Source date

March 2, 2026
HABITAT PARTNERS MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-123368

Source date

February 3, 2026
HABROK CAPITAL MANAGEMENT LLP
Investment adviser

SEC file number

801-121962

Source date

June 29, 2026
HACK VC MANAGEMENT, LLC
Investment adviser

SEC file number

801-126321

Source date

July 30, 2026
HACKETT FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-132704

Source date

February 26, 2026
HACKMAN CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-132238

Source date

June 30, 2026
HADDINGTON VENTURES, LLC
Investment adviser

SEC file number

801-73513

Source date

March 30, 2026
HADLEY INVESTMENT CO.
Investment adviser

SEC file number

801-120920

Source date

March 5, 2026
HAFELE INVESTMENTS, INC.
Investment adviser

SEC file number

801-136566

Source date

July 1, 2026
HAGER INVESTMENT MANAGEMENT SERVICES, LLC
Investment adviser

SEC file number

801-123558

Source date

January 28, 2026
HAHN & COMPANY
Exempt reporting adviser

SEC file number

802-107423

Source date

March 30, 2026
HAHN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-32487

Source date

March 10, 2026
HAHN FINANCIAL GROUP INC.
Investment adviser

SEC file number

801-80401

Source date

August 5, 2026
HAIDAR CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-73234

Source date

March 24, 2026
HAIMS CAPITAL LTD
Exempt reporting adviser

SEC file number

802-135406

Source date

January 26, 2026
HAIRE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-135729

Source date

May 18, 2026
HAKLUYT CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-131342

Source date

January 12, 2026
HALBERSTADT FINANCIAL CONSULTANTS, INC.
Investment adviser

SEC file number

801-57297

Source date

March 31, 2026
HALBERT HARGROVE GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-33048

Source date

March 28, 2026
HALBERT WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-55411

Source date

September 9, 2026
HALCYON GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-118182

Source date

March 12, 2026
HALE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-73985

Source date

March 31, 2026
HALE PARTNERSHIP CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113387

Source date

March 31, 2026
HALF MOON CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-113154

Source date

March 19, 2026
HALFCOURT VENTURES LLC
Exempt reporting adviser

SEC file number

802-131848

Source date

April 9, 2025
HALIFAX INVESTMENT MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-71683

Source date

March 26, 2026
HALL CAPITAL MANAGEMENT COMPANY, INC.
Investment adviser

SEC file number

801-54286

Source date

September 22, 2026
HALL CAPITAL MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-75472

Source date

March 18, 2026
HALL CAPITAL, LLC
Investment adviser

SEC file number

801-130210

Source date

March 3, 2026
HALL RETIREMENT PLANNING SERVICES, LLC
Investment adviser

SEC file number

801-120012

Source date

March 5, 2026
HALLADOR INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-67056

Source date

September 4, 2026
HALLE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-128452

Source date

April 29, 2026
HALLETT INVESTMENTS, LLC
Investment adviser

SEC file number

801-117651

Source date

March 9, 2026
HALLSTATT ADVISORS L.P.
Investment adviser

SEC file number

801-131222

Source date

March 12, 2026
HALO CAPITAL FUND MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-132734

Source date

March 17, 2026
HALO EXPERIENCE COMPANY L.L.C.
Exempt reporting adviser

SEC file number

802-133838

Source date

March 30, 2026
HALO INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-127670

Source date

September 1, 2026
HALO PARTNERS, L.P.
Exempt reporting adviser

SEC file number

802-135625

Source date

February 19, 2026
HALOGEN VENTURES MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-130148

Source date

March 16, 2026
HALSEYPOINT ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-117358

Source date

July 20, 2026
HALTER FERGUSON FINANCIAL INC
Investment adviser

SEC file number

801-57288

Source date

July 27, 2026
HALYARD ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-71687

Source date

March 26, 2026
HALYARD CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-114501

Source date

March 30, 2026
HAMBRECHT PARTNERS HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-121149

Source date

March 20, 2026
HAMEL ASSOCIATES INC
Investment adviser

SEC file number

801-37636

Source date

September 22, 2026
HAMILTON ASSET ADVISERS, LLC
Exempt reporting adviser

SEC file number

802-118889

Source date

March 31, 2026
HAMILTON CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-121245

Source date

April 13, 2026
HAMILTON CAPITAL, LLC
Investment adviser

SEC file number

801-54611

Source date

April 21, 2026
HAMILTON LANE ADVISORS, L.L.C.
Investment adviser

SEC file number

801-55813

Source date

June 26, 2026
HAMILTON POINT INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-68186

Source date

March 18, 2026
HAMILTON ROBINSON LLC
Investment adviser

SEC file number

801-121879

Source date

July 28, 2026
HAMILTON SQUARE PARTNERS MANAGEMENT, LP
Investment adviser

SEC file number

801-135436

Source date

May 14, 2026
HAMILTON WEALTH, LLC
Investment adviser

SEC file number

801-111079

Source date

March 27, 2026
HAMLIN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-60945

Source date

March 23, 2026
HAMMANA LLC
Exempt reporting adviser

SEC file number

802-132535

Source date

March 25, 2026
HAMMES REALTY ADVISORS, LLC
Investment adviser

SEC file number

801-78676

Source date

March 27, 2026
HAMMOND, KENNEDY, WHITNEY & COMPANY, INC.
Investment adviser

SEC file number

801-73323

Source date

March 31, 2026
HAMPEL INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-135175

Source date

March 27, 2026
HAMPSHIRE INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-72858

Source date

June 25, 2026
HAMPTON ROCK WEALTH MANAGEMENT I, LLC
Investment adviser

SEC file number

801-130575

Source date

September 22, 2026
HAMRICK INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-79347

Source date

April 9, 2026
HAN RIVER DEVELOPMENT LLC
Exempt reporting adviser

SEC file number

802-127250

Source date

March 30, 2026
HANABI CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132414

Source date

March 27, 2026
HANC WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-114535

Source date

July 31, 2026
HANCOCK WHITNEY INVESTMENT SERVICES INC.
Investment adviser

SEC file number

801-68420

Source date

March 23, 2026
HANGAR 4 PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-79107

Source date

February 1, 2026
HANKE & APOLONIO WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-131700

Source date

March 10, 2026
HANNAH GREY VENTURES, LLC
Exempt reporting adviser

SEC file number

802-124885

Source date

March 31, 2026
HANOVER ADVISORS, INC
Investment adviser

SEC file number

801-63150

Source date

May 5, 2026
HANOVER INVESTORS MANAGEMENT (MALTA) LIMITED
Exempt reporting adviser

SEC file number

802-122799

Source date

March 26, 2026
HANOVER INVESTORS MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-122810

Source date

March 26, 2026
HANOVER SQUARE WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-133697

Source date

July 31, 2026
HANSA CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-137487

Source date

September 10, 2026
HANSEATIC ASSET MANAGEMENT LBG
Exempt reporting adviser

SEC file number

802-137569

Source date

September 22, 2026
HANSEATIC CORPORATION
Exempt reporting adviser

SEC file number

802-74712

Source date

March 12, 2026
HANSEATIC MANAGEMENT SERVICES INC
Investment adviser

SEC file number

801-49508

Source date

March 12, 2026
HANSEN & ASSOCIATES FINANCIAL GROUP INC.
Investment adviser

SEC file number

801-122580

Source date

May 13, 2026
HANSON & DOREMUS INVESTMENT MANAGEMENT
Investment adviser

SEC file number

801-55412

Source date

September 25, 2026
HANTZ FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-106859

Source date

September 8, 2026
HANWHA ASSET MANAGEMENT (USA) LTD.
Investment adviser

SEC file number

801-110735

Source date

August 3, 2026
HAO ADVISORS MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-108030

Source date

March 27, 2026
HAO MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-76175

Source date

March 25, 2026
HAPANOWICZ & ASSOCIATES FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-72352

Source date

June 24, 2026
HARA CAPITAL LLC
Investment adviser

SEC file number

801-128043

Source date

March 18, 2026
HARBER CAPITAL LLC
Investment adviser

SEC file number

801-73866

Source date

March 27, 2026
HARBERT FUND ADVISORS, LLC
Investment adviser

SEC file number

801-55926

Source date

March 31, 2026
HARBINGER ALTERNATIVE ASSOCIATES, LLC
Investment adviser

SEC file number

801-134333

Source date

September 4, 2026
HARBOR ADVISORS LLC
Investment adviser

SEC file number

801-120353

Source date

February 27, 2026
HARBOR ADVISORY CORPORATION
Investment adviser

SEC file number

801-8915

Source date

May 14, 2026
HARBOR ASSET PLANNING, INC.
Investment adviser

SEC file number

801-129471

Source date

January 9, 2026
HARBOR CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-60367

Source date

August 5, 2026
HARBOR FINANCING INC
Exempt reporting adviser

SEC file number

802-134670

Source date

March 5, 2026
HARBOR GROUP INTERNATIONAL, LLC
Investment adviser

SEC file number

801-108747

Source date

April 20, 2026
HARBOR HILLS, INC.
Investment adviser

SEC file number

801-132064

Source date

March 23, 2026
HARBOR INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-70893

Source date

September 1, 2026
HARBOR ISLAND CAPITAL LLC
Investment adviser

SEC file number

801-113401

Source date

June 15, 2026
HARBOR ITHAKA WM, LLC
Investment adviser

SEC file number

801-113143

Source date

March 31, 2026
HARBOR LIGHT PLANNING, LLC
Investment adviser

SEC file number

801-136411

Source date

May 1, 2026
HARBOR SPRING CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-129136

Source date

April 1, 2026
HARBORFRONT FINANCIAL LLC
Investment adviser

SEC file number

801-131145

Source date

March 23, 2026
HARBORVIEW ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-131191

Source date

March 5, 2026
HARBOUR CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-77679

Source date

February 27, 2026
HARBOUR FINANCIAL RESOURCES, LTD
Investment adviser

SEC file number

801-58020

Source date

March 30, 2026
HARBOUR GROUP INDUSTRIES, INC.
Investment adviser

SEC file number

801-73623

Source date

March 27, 2026
HARBOUR INVESTMENT MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-39540

Source date

March 10, 2026
HARBOUR INVESTMENTS, INC.
Investment adviser

SEC file number

801-29185

Source date

September 21, 2026
HARBOUR LITIGATION FUNDING LIMITED
Exempt reporting adviser

SEC file number

802-96273

Source date

March 30, 2026
HARBOUR POINT MANAGEMENT LP
Investment adviser

SEC file number

801-117033

Source date

March 30, 2026
HARBOUR WEALTH MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-121292

Source date

August 18, 2026
HARBOUR25 MANAGEMENT SERVICES, L.L.C.
Exempt reporting adviser

SEC file number

802-134563

Source date

March 31, 2026
HARBOURFRONT WEALTH AMERICA INC.
Investment adviser

SEC file number

801-118067

Source date

August 14, 2026
HARBOURVEST PARTNERS, LLC
Investment adviser

SEC file number

801-53287

Source date

July 16, 2026
HARBOURVEST REGISTERED ADVISERS II L.P.
Investment adviser

SEC file number

801-135785

Source date

March 6, 2026
HARBOURVEST REGISTERED ADVISERS L.P.
Investment adviser

SEC file number

801-131309

Source date

April 15, 2026
HARDIN CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-118794

Source date

July 22, 2026
HARDING FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-131870

Source date

June 30, 2026
HARDING LOEVNER LP
Investment adviser

SEC file number

801-36845

Source date

March 27, 2026
HARDING WEALTH, INC.
Investment adviser

SEC file number

801-123224

Source date

March 13, 2026
HARDMAN JOHNSTON GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-23854

Source date

July 30, 2026
HARDWORKING CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-112113

Source date

March 23, 2026
HARDY & HARDY CO LLC
Investment adviser

SEC file number

801-129299

Source date

January 5, 2026
HARDY REED, LLC
Investment adviser

SEC file number

801-66976

Source date

September 4, 2026
HARFST AND ASSOCIATES, INC.
Investment adviser

SEC file number

801-71661

Source date

March 25, 2026
HARGER AND COMPANY, INC.
Investment adviser

SEC file number

801-129739

Source date

March 27, 2026
HARGETT HUNTER CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118252

Source date

April 23, 2026
HARK CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-135243

Source date

March 30, 2026
HARKNESS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-119085

Source date

March 31, 2026
HARLAN CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-110552

Source date

March 30, 2026
HARLEM CAPITAL PARTNERS MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-115077

Source date

March 30, 2026
HARLOW CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135907

Source date

August 28, 2026
HARLOW WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-112275

Source date

March 30, 2026
HARMONIC CAPITAL, LLC
Investment adviser

SEC file number

801-132705

Source date

June 18, 2026
HARMONIC GROWTH PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-119336

Source date

February 12, 2026
HARMONT FIXED INCOME, LLC
Investment adviser

SEC file number

801-131552

Source date

March 30, 2026
HARMONY ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-118731

Source date

March 23, 2026
HARMONY CAPITAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-75799

Source date

February 23, 2026
HARMONY PARTNERS MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-113316

Source date

April 6, 2026
HARMONY POINT WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-126832

Source date

March 25, 2026
HARMOVEST CAPITAL US LTD
Exempt reporting adviser

SEC file number

802-137264

Source date

August 11, 2026
HARNESS WEALTH ADVISERS LLC
Investment adviser

SEC file number

801-114480

Source date

March 20, 2026
HAROLD DAVIDSON & ASSOCIATES, INC
Investment adviser

SEC file number

801-9752

Source date

August 5, 2026
HAROLD W. DANCE INC.
Investment adviser

SEC file number

801-129647

Source date

August 3, 2026
HARPOON MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-117361

Source date

March 26, 2026
HARPSWELL CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-110825

Source date

May 28, 2026
HARRADEN CIRCLE INVESTMENTS, LLC
Investment adviser

SEC file number

801-133959

Source date

July 16, 2026
HARRELL INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-114354

Source date

February 17, 2026
HARREN EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-74107

Source date

March 31, 2026
HARRINGTON INVESTMENTS, INCORPORATED
Investment adviser

SEC file number

801-17932

Source date

September 22, 2026
HARRIS ASSOCIATES LP
Investment adviser

SEC file number

801-50333

Source date

August 4, 2026
HARRIS PRESTON & PARTNERS, LLC
Investment adviser

SEC file number

801-74433

Source date

March 31, 2026
HARRISON STREET ADVISORS, LLC
Investment adviser

SEC file number

801-72727

Source date

March 31, 2026
HARRISON STREET PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-72298

Source date

March 27, 2026
HARTFORD FINANCIAL MANAGEMENT INC
Investment adviser

SEC file number

801-33701

Source date

March 27, 2026
HARTFORD FUNDS MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-77209

Source date

June 10, 2026
HARTFORD INVESTMENT MANAGEMENT COMPANY
Investment adviser

SEC file number

801-53542

Source date

March 27, 2026
HARTLEY ADVISORS CORP.
Investment adviser

SEC file number

801-134772

Source date

July 28, 2026
HARTLINE INVESTMENT CORP.
Investment adviser

SEC file number

801-36627

Source date

March 30, 2026
HARTMANN CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-123085

Source date

February 19, 2026
HARTMANN TAYLOR WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-119637

Source date

February 25, 2026
HARVEST APP LLC
Investment adviser

SEC file number

801-134471

Source date

June 16, 2026
HARVEST CAPITAL ASSETS, LLC
Investment adviser

SEC file number

801-121485

Source date

March 10, 2026
HARVEST CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-63565

Source date

February 24, 2026
HARVEST FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-68507

Source date

July 6, 2026
HARVEST FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-117513

Source date

August 25, 2026
HARVEST FUND ADVISORS LLC
Investment adviser

SEC file number

801-71791

Source date

March 30, 2026
HARVEST GLOBAL INVESTMENTS LIMITED
Investment adviser

SEC file number

801-72429

Source date

March 30, 2026
HARVEST INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-121340

Source date

March 16, 2026
HARVEST INVESTMENT CONSULTANTS LLC
Investment adviser

SEC file number

801-31445

Source date

March 9, 2026
HARVEST INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-79232

Source date

May 26, 2026
HARVEST MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-61814

Source date

March 27, 2026
HARVEST PARTNERS, LP
Investment adviser

SEC file number

801-74136

Source date

March 30, 2026
HARVEY CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-52027

Source date

March 10, 2026
HARVEY CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-134539

Source date

March 16, 2026
HARVEY INVESTMENT COMPANY, LLC
Investment adviser

SEC file number

801-58031

Source date

August 4, 2026
HARVEY PARTNERS, LLC
Investment adviser

SEC file number

801-73395

Source date

March 25, 2026
HARWOOD CAPITAL LLP
Investment adviser

SEC file number

801-74305

Source date

July 1, 2026
HARWOOD PRIVATE EQUITY LLP
Investment adviser

SEC file number

801-133835

Source date

September 10, 2026
HASH3 LLC
Exempt reporting adviser

SEC file number

802-127967

Source date

March 20, 2026
HASHDEX ASSET MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-114633

Source date

January 9, 2026
HASHIRA CAPITAL LLC
Exempt reporting adviser

SEC file number

802-136517

Source date

June 22, 2026
HASHKEY CAPITAL INVESTMENT
Exempt reporting adviser

SEC file number

802-122081

Source date

March 31, 2026
HASHKEY FINTECH INVESTMENT
Exempt reporting adviser

SEC file number

802-123625

Source date

March 31, 2026
HASSELL WEALTH MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-114012

Source date

September 11, 2026
HASTINGS EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-100462

Source date

March 30, 2026
HAT TRICK CAPITAL LLC
Exempt reporting adviser

SEC file number

802-135942

Source date

March 23, 2026
HATCH BIOFUND MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130242

Source date

March 23, 2026
HATCH COVE CAPITAL, LLC
Investment adviser

SEC file number

801-127530

Source date

March 3, 2026
HATCHER CAPITAL INVESTMENTS, INC.
Investment adviser

SEC file number

801-134455

Source date

March 26, 2026
HATTERAS INVESTMENT PARTNERS, LP
Investment adviser

SEC file number

801-79326

Source date

September 9, 2026
HATTERAS VENTURE ADVISORS III, LLC
Exempt reporting adviser

SEC file number

802-75759

Source date

March 31, 2026
HATTERAS VENTURE ADVISORS IV, LLC
Exempt reporting adviser

SEC file number

802-75766

Source date

March 31, 2026
HATTERAS VENTURE ADVISORS V LLC
Exempt reporting adviser

SEC file number

802-112296

Source date

March 31, 2026
HATTERAS VENTURE ADVISORS VI, LLC
Exempt reporting adviser

SEC file number

802-116954

Source date

March 31, 2026
HATTERAS VENTURE ADVISORS VII, LLC
Exempt reporting adviser

SEC file number

802-126766

Source date

March 31, 2026
HAUN VENTURES MANAGEMENT LP
Investment adviser

SEC file number

801-128398

Source date

March 31, 2026
HAUSER RETIREMENT SOLUTIONS 2 LLC
Investment adviser

SEC file number

801-117147

Source date

April 21, 2026
HAUSSMANN 1864 CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-131129

Source date

March 31, 2026
HAVE RIA, INC.
Investment adviser

SEC file number

801-128320

Source date

March 9, 2026
HAVELET BAY CAPITAL INTERNATIONAL LTD.
Exempt reporting adviser

SEC file number

802-136246

Source date

April 13, 2026
HAVELI INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-123111

Source date

August 17, 2026
HAVEN CAPITAL GROUP, INC.
Investment adviser

SEC file number

801-130171

Source date

March 31, 2026
HAVEN CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-132997

Source date

March 27, 2026
HAVEN FIDUCIARY RETURNS LTD
Exempt reporting adviser

SEC file number

802-135221

Source date

December 23, 2025
HAVEN GLOBAL PARTNERS, LLC
Investment adviser

SEC file number

801-120377

Source date

May 6, 2026
HAVEN PRIVATE, LLC
Investment adviser

SEC file number

801-129272

Source date

April 24, 2026
HAVEN VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-127181

Source date

April 1, 2026
HAVEN WEALTH GROUP LLC
Investment adviser

SEC file number

801-69527

Source date

February 18, 2026
HAVENCREST CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-126206

Source date

May 15, 2026
HAVENSHARE FINANCIAL, LLC
Investment adviser

SEC file number

801-88172

Source date

April 1, 2026
HAVERDINK FINANCIAL MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-112557

Source date

January 23, 2026
HAVERFORD FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-62759

Source date

March 16, 2026
HAVERSTOCK CAPITAL LLP
Investment adviser

SEC file number

801-135689

Source date

August 28, 2026
HAWK RIDGE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-100425

Source date

March 31, 2026
HAWKE FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-116678

Source date

April 3, 2026
HAWKEYE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-74072

Source date

March 31, 2026
HAWKEYE PARTNERS, LP
Investment adviser

SEC file number

801-64764

Source date

March 30, 2026
HAWKINS INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-129611

Source date

March 30, 2026
HAWKS POINT CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-122906

Source date

March 25, 2026