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 49 of 95

KINTAYL CAPITAL LP
Investment adviser

SEC file number

801-130689

Source date

March 29, 2026
KINTBURY CAPITAL LLP
Exempt reporting adviser

SEC file number

802-96171

Source date

May 19, 2026
KINTEGRAL ADVISORY, LLC
Investment adviser

SEC file number

801-77438

Source date

August 5, 2026
KINTERRA CAPITAL CORP.
Exempt reporting adviser

SEC file number

802-124982

Source date

May 18, 2026
KINTRA INVESTMENTS, LLC
Investment adviser

SEC file number

801-128995

Source date

July 20, 2026
KINTRA WEALTH, LLC
Investment adviser

SEC file number

801-114485

Source date

July 20, 2026
KINWELL LLC
Investment adviser

SEC file number

801-128056

Source date

March 25, 2026
KINYAN CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-118712

Source date

March 27, 2026
KINZIE CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-124869

Source date

March 27, 2026
KIPLINGER INVESTMENT ADVISORS, LLC.
Investment adviser

SEC file number

801-129277

Source date

March 27, 2026
KIPVEN MANAGEMENT(BVI) LTD
Exempt reporting adviser

SEC file number

802-127064

Source date

February 25, 2026
KIRK CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-128175

Source date

March 31, 2026
KIRKOSWALD ASSET MANAGEMENT ASIA PTE. LTD.
Exempt reporting adviser

SEC file number

802-136013

Source date

March 27, 2026
KIRKOSWALD ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-114632

Source date

May 18, 2026
KIRKOSWALD CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-66016

Source date

April 30, 2026
KIRKOSWALD CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-80717

Source date

March 30, 2026
KIRKOSWALD GLOBAL MANAGEMENT SERVICES LTD.
Exempt reporting adviser

SEC file number

802-127021

Source date

March 30, 2026
KIRKWOOD FINANCIAL SERVICES LLC
Investment adviser

SEC file number

801-120719

Source date

August 18, 2026
KIRMANI PARTNERS LLC
Exempt reporting adviser

SEC file number

802-133910

Source date

July 10, 2025
KIRR, MARBACH & COMPANY, LLC
Investment adviser

SEC file number

801-10809

Source date

March 26, 2026
KIRTLAND CAPITAL CORPORATION
Exempt reporting adviser

SEC file number

802-74908

Source date

March 31, 2026
KIRTLAND FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-63403

Source date

March 24, 2026
KIRTLAND HILLS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-129674

Source date

March 24, 2026
KISSLING FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-131147

Source date

March 27, 2026
KITCHEN VENTURES, LLC
Exempt reporting adviser

SEC file number

802-118556

Source date

March 25, 2026
KITCHING PARTNERS, LLC
Investment adviser

SEC file number

801-127433

Source date

March 25, 2026
KITE LAKE CAPITAL MANAGEMENT (UK) LLP
Exempt reporting adviser

SEC file number

802-78380

Source date

June 29, 2026
KITTYHAWK VENTURES, LLC
Investment adviser

SEC file number

801-135841

Source date

August 3, 2026
KIWOOM ASSET MANAGEMENT ASIA PTE. LTD.
Exempt reporting adviser

SEC file number

802-134496

Source date

March 26, 2026
KIZE CAPITAL LP
Investment adviser

SEC file number

801-117781

Source date

March 27, 2026
KJ CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-108472

Source date

March 12, 2026
KKA MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-126655

Source date

March 27, 2026
KKM FINANCIAL LLC
Investment adviser

SEC file number

801-77094

Source date

August 7, 2026
KKR ALTERNATIVE INVESTMENT MANAGEMENT UNLIMITED COMPANY
Exempt reporting adviser

SEC file number

802-96328

Source date

March 31, 2026
KKR CREDIT ADVISORS (SINGAPORE) PTE. LTD.
Investment adviser

SEC file number

801-119302

Source date

September 25, 2026
KKR CREDIT ADVISORS (US) LLC
Investment adviser

SEC file number

801-69633

Source date

September 25, 2026
KKR REGISTERED ADVISOR LLC
Investment adviser

SEC file number

801-119014

Source date

April 1, 2026
KLAAS FINANCIAL ASSET ADVISORS, LLC.
Investment adviser

SEC file number

801-79516

Source date

May 6, 2026
KLAFF REALTY, LP
Investment adviser

SEC file number

801-106657

Source date

March 31, 2026
KLAKNA GROUP LTD
Exempt reporting adviser

SEC file number

802-135353

Source date

January 16, 2026
KLAR PARTNERS LTD
Exempt reporting adviser

SEC file number

802-119938

Source date

March 30, 2026
KLCM ADVISORS, INC.
Investment adviser

SEC file number

801-43503

Source date

March 10, 2026
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
Investment adviser

SEC file number

801-121974

Source date

May 6, 2026
KLEINER PERKINS CAUFIELD & BYERS, LLC
Exempt reporting adviser

SEC file number

802-75571

Source date

March 31, 2026
KLEINFELDER CAPITAL, INC.
Investment adviser

SEC file number

801-111047

Source date

September 3, 2026
KLH CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-116869

Source date

March 27, 2026
KLI ASSET MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-114664

Source date

June 26, 2026
KLINE HILL PARTNERS LP
Investment adviser

SEC file number

801-110340

Source date

July 7, 2026
KLINGENSTEIN, FIELDS & CO., L.P.
Investment adviser

SEC file number

801-33347

Source date

July 28, 2026
KLINGMAN AND ASSOCIATES, LLC
Investment adviser

SEC file number

801-67783

Source date

May 1, 2026
KLINKLOANS FUND, LLC
Exempt reporting adviser

SEC file number

802-129571

Source date

February 5, 2026
KLIPSPRINGER CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-131923

Source date

February 3, 2026
KLOSTERS CAPITAL LLC
Investment adviser

SEC file number

801-108620

Source date

March 19, 2026
KM CAPITAL MANAGEMENT, LTD.
Investment adviser

SEC file number

801-110262

Source date

March 31, 2026
KMD INVESTMENTS MANAGER, LLC
Exempt reporting adviser

SEC file number

802-131966

Source date

March 31, 2026
KMF INVESTMENTS MANAGEMENT, LLC
Investment adviser

SEC file number

801-136730

Source date

August 7, 2026
KMG FIDUCIARY PARTNERS, LLC
Investment adviser

SEC file number

801-113981

Source date

May 12, 2026
KMH WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-55234

Source date

March 15, 2026
KMT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130902

Source date

September 17, 2026
KNECHT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-137190

Source date

September 22, 2026
KNIGHTHEAD CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73337

Source date

May 7, 2026
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
Investment adviser

SEC file number

801-80844

Source date

March 30, 2026
KNIGHTSBRIDGE ADVISERS LLC
Investment adviser

SEC file number

801-45068

Source date

August 26, 2026
KNIGHTSBRIDGE ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-55731

Source date

August 26, 2026
KNM SERVICES INC
Exempt reporting adviser

SEC file number

802-117656

Source date

July 1, 2026
KNOLL VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126478

Source date

March 26, 2026
KNOW YOUR OPTIONS LLC
Investment adviser

SEC file number

801-92177

Source date

August 27, 2026
KNOX AVENUE FINANCIAL CORP.
Investment adviser

SEC file number

801-132796

Source date

July 28, 2026
KNOX LANE LP
Investment adviser

SEC file number

801-118099

Source date

June 9, 2026
KNOX WEALTH PARTNERS ADVISORY, LLC
Investment adviser

SEC file number

801-110743

Source date

March 26, 2026
KNUFF & COMPANY LLC
Investment adviser

SEC file number

801-113925

Source date

March 26, 2026
KNYSNA INVESTMENT MANAGEMENT IC LIMITED
Exempt reporting adviser

SEC file number

802-127342

Source date

June 23, 2026
KOA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-118718

Source date

May 8, 2026
KODO CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-134700

Source date

October 6, 2025
KOEHLER ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-135542

Source date

September 21, 2026
KOENIG INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-119834

Source date

February 2, 2026
KOESTEN HIRSCHMANN & CRABTREE, INC.
Investment adviser

SEC file number

801-57971

Source date

July 14, 2026
KOHLBERG & CO., L.L.C.
Investment adviser

SEC file number

801-74129

Source date

May 22, 2026
KOHLBERG KRAVIS ROBERTS & CO. L.P.
Investment adviser

SEC file number

801-69634

Source date

September 25, 2026
KOHLHEPP INVESTMENT ADVISORS, LTD.
Investment adviser

SEC file number

801-60581

Source date

March 24, 2026
KOHMANN BOSSHARD FINANCIAL SERVICES, LLC.
Investment adviser

SEC file number

801-79520

Source date

March 23, 2026
KOIN CAPITAL INC
Investment adviser

SEC file number

801-122125

Source date

May 7, 2026
KOLTAI & COMPANY ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-112064

Source date

February 27, 2026
KOM WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-67464

Source date

March 4, 2026
KOMO CAPITAL LLP
Exempt reporting adviser

SEC file number

802-134263

Source date

July 31, 2025
KOMPASS KAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-132928

Source date

August 11, 2026
KONDO WEALTH ADVISORS, INC
Investment adviser

SEC file number

801-96308

Source date

March 10, 2026
KONEKTIS CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-136962

Source date

June 30, 2026
KONTIKI CAPITAL MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-80158

Source date

March 30, 2026
KONVOY CAPITAL LLC
Exempt reporting adviser

SEC file number

802-125877

Source date

March 25, 2026
KONZA GLOBAL ADVISORY, LLC
Investment adviser

SEC file number

801-130570

Source date

July 28, 2026
KOOB WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130516

Source date

February 4, 2026
KOOMAN & ASSOCIATES
Investment adviser

SEC file number

801-126429

Source date

August 25, 2026
KOON FINANCIAL PLANNING & CONSULTING, LLC
Investment adviser

SEC file number

801-132426

Source date

March 10, 2026
KOPERNIK GLOBAL INVESTORS, LLC
Investment adviser

SEC file number

801-78514

Source date

July 27, 2026
KOPION ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-118111

Source date

February 6, 2026
KORA MANAGEMENT LP
Investment adviser

SEC file number

801-80464

Source date

August 24, 2026
KORE ADVISORS LP
Investment adviser

SEC file number

801-73097

Source date

August 28, 2026
KOREA INVESTMENT GLOBAL GREEN ENERGY GP
Exempt reporting adviser

SEC file number

802-127473

Source date

March 31, 2026
KORELYA CAPITAL SAS
Exempt reporting adviser

SEC file number

802-128349

Source date

August 4, 2026
KORNITZER CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-34933

Source date

June 25, 2026
KORVING & COMPANY LLC
Investment adviser

SEC file number

801-120828

Source date

March 20, 2026
KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-56878

Source date

March 20, 2026
KOSMOS MANAGEMENT LLC
Investment adviser

SEC file number

801-77216

Source date

August 14, 2026
KOSS-OLINGER CONSULTING, LLC.
Investment adviser

SEC file number

801-58175

Source date

April 10, 2026
KOTAK ALTERNATE ASSET MANAGERS LIMITED
Investment adviser

SEC file number

801-127639

Source date

June 30, 2026
KOTAK MAHINDRA (INTERNATIONAL) LIMITED
Exempt reporting adviser

SEC file number

802-76440

Source date

June 30, 2026
KOTAK MAHINDRA ASSET MANAGEMENT (SINGAPORE) PTE. LTD.
Investment adviser

SEC file number

801-108865

Source date

June 30, 2026
KOVACK ADVISORS, INC.
Investment adviser

SEC file number

801-63048

Source date

April 27, 2026
KOVALCIK & GERAGHTY WEALTH PARTNERS LLP
Investment adviser

SEC file number

801-72943

Source date

April 1, 2026
KOZAK & TRIPP PRIVATE ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-113934

Source date

April 15, 2026
KP MANAGEMENT LLC
Investment adviser

SEC file number

801-130776

Source date

February 19, 2026
KPC TERRAPIN GROUP LLC
Investment adviser

SEC file number

801-108868

Source date

March 31, 2026
KPCB CHINA MANAGEMENT, LTD.
Exempt reporting adviser

SEC file number

802-75570

Source date

March 31, 2026
KPP ADVISORY SERVICES LLC
Investment adviser

SEC file number

801-111709

Source date

May 28, 2026
KPS CAPITAL PARTNERS, LP
Investment adviser

SEC file number

801-73907

Source date

March 30, 2026
KR CAPITAL LP
Investment adviser

SEC file number

801-134354

Source date

August 3, 2026
KRAEMATON INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-65115

Source date

February 12, 2026
KRAFT, DAVIS & ASSOCIATES, LLC
Investment adviser

SEC file number

801-99353

Source date

August 16, 2026
KRAKEN ADVISER LLC
Investment adviser

SEC file number

801-134398

Source date

July 20, 2026
KRAL FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-66245

Source date

March 21, 2026
KRANE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-129265

Source date

July 24, 2026
KRANE FINANCIAL SOLUTIONS, LLC
Investment adviser

SEC file number

801-71344

Source date

March 10, 2026
KRANE FUNDS ADVISORS, LLC
Investment adviser

SEC file number

801-77589

Source date

July 24, 2026
KREATE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118832

Source date

March 31, 2026
KREITLER FINANCIAL LLC
Investment adviser

SEC file number

801-118881

Source date

March 13, 2026
KRENSAVAGE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-78631

Source date

March 25, 2026
KREOS CAPITAL GROUP LIMITED
Exempt reporting adviser

SEC file number

802-75366

Source date

March 31, 2026
KREOS CAPITAL GROUP V LIMITED
Exempt reporting adviser

SEC file number

802-107864

Source date

March 31, 2026
KREOS CAPITAL GROUP VI L.P.
Exempt reporting adviser

SEC file number

802-114575

Source date

March 31, 2026
KREOS CAPITAL GROUP VII LP
Exempt reporting adviser

SEC file number

802-128044

Source date

March 31, 2026
KRIEG MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-134935

Source date

February 23, 2026
KRILOGY FINANCIAL LLC
Investment adviser

SEC file number

801-69838

Source date

March 31, 2026
KRISTAL ADVISORS (SG) PTE. LTD.
Investment adviser

SEC file number

801-136251

Source date

April 13, 2026
KRISTEN E. COOMBS LLC
Investment adviser

SEC file number

801-119770

Source date

May 13, 2026
KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-135064

Source date

May 1, 2026
KRM PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132430

Source date

February 27, 2026
KRM WEALTH MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-126100

Source date

March 11, 2026
KROEGER FINANCIAL PARTNERS
Investment adviser

SEC file number

801-137202

Source date

September 3, 2026
KROHNE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-120453

Source date

February 15, 2026
KRONOS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-120809

Source date

March 23, 2026
KROON & MITCHELL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-125974

Source date

March 28, 2026
KROPOG FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-123679

Source date

September 3, 2026
KRS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-126105

Source date

January 16, 2026
KRUSE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-131004

Source date

March 26, 2026
KRUSEN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-70338

Source date

March 26, 2026
KRYGER CAPITAL LLC
Investment adviser

SEC file number

801-135550

Source date

February 23, 2026
KSE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134911

Source date

September 1, 2026
KSI ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-130452

Source date

March 28, 2026
KSL ADVISORS, LLC
Investment adviser

SEC file number

801-73674

Source date

June 23, 2026
KTF INVESTMENTS, LLC
Investment adviser

SEC file number

801-134137

Source date

July 30, 2026
KUARK CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-136598

Source date

May 29, 2026
KUB CONVEX PARTNERS
Exempt reporting adviser

SEC file number

802-136957

Source date

June 30, 2026
KUBE HOLDINGS LIMITED
Exempt reporting adviser

SEC file number

802-129874

Source date

March 26, 2026
KUBENCE LLC
Investment adviser

SEC file number

801-133875

Source date

March 31, 2026
KUBHERA ENTERPRISES LLC
Investment adviser

SEC file number

801-114374

Source date

March 12, 2026
KUCHARO WEALTH, LLC
Investment adviser

SEC file number

801-135608

Source date

August 20, 2026
KUDU INVESTMENT HOLDINGS, LLC
Investment adviser

SEC file number

801-80974

Source date

May 18, 2026
KUHN & COMPANY INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-126088

Source date

April 6, 2026
KUHN ADVISORS, INC.
Investment adviser

SEC file number

801-44183

Source date

May 22, 2026
KUHN CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-132541

Source date

March 31, 2026
KUHN WEALTH MANAGEMENT INC.
Investment adviser

SEC file number

801-136946

Source date

August 10, 2026
KUKUI TREE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-136833

Source date

June 25, 2026
KULT WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-123427

Source date

February 4, 2026
KULTURA CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-134057

Source date

May 6, 2026
KUNATH KARREN RINNE & ATKIN LLC
Investment adviser

SEC file number

801-18935

Source date

March 31, 2026
KUOS INVESTMENT II LLC
Exempt reporting adviser

SEC file number

802-111076

Source date

March 27, 2026
KURAMO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-108061

Source date

March 25, 2026
KURE ADVISORY, LLC
Investment adviser

SEC file number

801-120058

Source date

March 11, 2026
KURTIN FINANCIAL ADVISERS, LLC
Investment adviser

SEC file number

801-123750

Source date

March 6, 2026
KURV INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-126717

Source date

July 28, 2026
KUTSCHER BENNER BARSNESS & STEVENS, INC.
Investment adviser

SEC file number

801-49160

Source date

January 29, 2026
KUTUMB INVESTMENTS LLC
Investment adviser

SEC file number

801-136356

Source date

September 21, 2026
KUTZ AND COMPANY INC.
Investment adviser

SEC file number

801-111680

Source date

March 4, 2026
KV ASIA CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-117142

Source date

September 8, 2026
KV MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-127269

Source date

March 2, 2026
KV SERVICES II LIMITED
Investment adviser

SEC file number

801-70612

Source date

March 23, 2026
KVP CAPITAL ADVISORS, LP
Investment adviser

SEC file number

801-136909

Source date

June 29, 2026
KW WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-131526

Source date

February 5, 2026
KWB WEALTH
Investment adviser

SEC file number

801-118740

Source date

July 14, 2026
KWK MANAGEMENT LLC
Investment adviser

SEC file number

801-64987

Source date

September 8, 2026
KWMG, LLC
Investment adviser

SEC file number

801-79725

Source date

March 20, 2026
KYBER KNIGHT CAPITAL MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-127806

Source date

March 13, 2026
KYMA CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-114674

Source date

June 2, 2026
KYMATIC ADVISORS LLC
Exempt reporting adviser

SEC file number

802-137262

Source date

August 10, 2026
KYNAM CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-126187

Source date

April 10, 2026
KYNANCE COVE CAPITAL LLC
Investment adviser

SEC file number

801-136673

Source date

September 10, 2026
KYNANCE COVE CAPITAL LLP
Investment adviser

SEC file number

801-136288

Source date

August 25, 2026
KYOBO LIFE ASSET MANAGEMENT (AMERICA) CO., LTD.
Investment adviser

SEC file number

801-80868

Source date

May 1, 2026
L & B REALTY ADVISORS, LLP
Investment adviser

SEC file number

801-64726

Source date

March 20, 2026
L & S ADVISORS, INC
Investment adviser

SEC file number

801-66849

Source date

September 23, 2026
L & W FINANCIAL, LLC
Investment adviser

SEC file number

801-128977

Source date

July 13, 2026
L 1 GLOBAL WEALTH LLC
Investment adviser

SEC file number

801-134149

Source date

September 23, 2026
L CAPITAL, LLC
Investment adviser

SEC file number

801-129704

Source date

March 24, 2026
L CATTERTON ASIA ADVISORS
Exempt reporting adviser

SEC file number

802-75565

Source date

March 30, 2026
L CATTERTON EUROPE SAS
Exempt reporting adviser

SEC file number

802-76687

Source date

March 30, 2026
L SQUARED CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-111654

Source date

September 1, 2026
L&L PARTNERS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-111661

Source date

March 13, 2026
L&R CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-120839

Source date

March 2, 2026
L&S INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-131023

Source date

March 24, 2026
L&S PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-135134

Source date

April 14, 2026
L. C. BHANDARI & CO.
Investment adviser

SEC file number

801-74751

Source date

April 13, 2026
L. K. BENSON & COMPANY, P.C.
Investment adviser

SEC file number

801-48099

Source date

July 30, 2026
L. ROY PAPP & ASSOCIATES, LLP
Investment adviser

SEC file number

801-35594

Source date

May 27, 2026
L.D. LOWE WEALTH ADVISORY, INC.
Investment adviser

SEC file number

801-64775

Source date

March 30, 2026
L.J. ALTFEST & CO., INC.
Investment adviser

SEC file number

801-18320

Source date

March 4, 2026
L.J. BREY, INC.
Investment adviser

SEC file number

801-134762

Source date

March 4, 2026
L.S.Y., INC
Investment adviser

SEC file number

801-57838

Source date

June 26, 2026
L1 CAPITAL GLOBAL INC.
Investment adviser

SEC file number

801-122929

Source date

March 26, 2026
L1 CAPITAL INTERNATIONAL PTY LTD
Exempt reporting adviser

SEC file number

802-135687

Source date

February 25, 2026
L1 CAPITAL PTY LTD
Exempt reporting adviser

SEC file number

802-135409

Source date

January 26, 2026
L1 GLOBAL MANAGER PTY LTD
Exempt reporting adviser

SEC file number

802-123269

Source date

October 30, 2025
L2 ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-107084

Source date

August 12, 2026
L2 MANAGEMENT COMPANY II, LLC
Exempt reporting adviser

SEC file number

802-126198

Source date

July 28, 2026
L2 POINT MANAGEMENT LLC
Investment adviser

SEC file number

801-128451

Source date

May 1, 2026
L2 VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-124849

Source date

March 27, 2026
LA CROSSE FINANCIAL PLANNING INC.
Investment adviser

SEC file number

801-135118

Source date

April 1, 2026
LAB QUANTITATIVE STRATEGIES, LLC
Investment adviser

SEC file number

801-120394

Source date

July 28, 2026
LABURNUM CAPITAL ADVISORS PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-120421

Source date

June 1, 2026
LABYRINTH CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-127025

Source date

February 24, 2026
LACONIA ADVISORY SERVICES LLC
Exempt reporting adviser

SEC file number

802-127060

Source date

March 19, 2026
LACROIX CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137466

Source date

September 21, 2026
LADD CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-11098

Source date

February 13, 2026
LADDER CAPITAL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-121780

Source date

March 19, 2026
LADENBURG THALMANN ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-54909

Source date

September 1, 2026
LAFAYETTE INVESTMENTS, INC.
Investment adviser

SEC file number

801-32522

Source date

April 1, 2026
LAFAYETTE SQUARE FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-137215

Source date

August 24, 2026
LAFFER TENGLER INVESTMENTS, INC.
Investment adviser

SEC file number

801-56953

Source date

March 26, 2026
LAFIRMA ASSET SERVICES S.C.
Exempt reporting adviser

SEC file number

802-118631

Source date

March 2, 2026
LAFISE GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-130311

Source date

March 30, 2026
LAFLEUR & GODFREY LLC
Investment adviser

SEC file number

801-78536

Source date

July 9, 2026
LAGO ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-126267

Source date

March 25, 2026
LAGODA INVESTMENT MANAGEMENT, L.P.
Investment adviser

SEC file number

801-79596

Source date

March 17, 2026
LAGUNA BAY FUND 1 PTY LTD
Exempt reporting adviser

SEC file number

802-123673

Source date

September 1, 2026
LAGUNA BAY FUND 2 PTY LTD
Exempt reporting adviser

SEC file number

802-123674

Source date

September 1, 2026
LAGUNA WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-129282

Source date

July 16, 2026
LAIDLAW WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-112592

Source date

April 27, 2026
LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-36445

Source date

March 31, 2026
LAIYEPLUS LIMITED
Exempt reporting adviser

SEC file number

802-134549

Source date

September 12, 2025
LAKE AVENUE FINANCIAL LLC
Investment adviser

SEC file number

801-122031

Source date

March 23, 2026
LAKE BLEU CAPITAL (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-118215

Source date

March 30, 2026
LAKE HILL CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-77648

Source date

March 28, 2026
LAKE HILLS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-121498

Source date

February 20, 2026
LAKE PACIFIC MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-126258

Source date

March 27, 2026
LAKE ROAD ADVISORS, LLC
Investment adviser

SEC file number

801-117338

Source date

January 21, 2026
LAKE STREET PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-113228

Source date

July 6, 2026
LAKE WHILLANS CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-113087

Source date

March 27, 2026
LAKEHOUSE VENTURES, LLC
Exempt reporting adviser

SEC file number

802-125884

Source date

March 30, 2026
LAKEMORE CREDIT MANAGER VI-INTERNATIONAL LTD.
Exempt reporting adviser

SEC file number

802-134658

Source date

April 29, 2026
LAKEMORE CREDIT MANAGER VI-MASTER LTD.
Exempt reporting adviser

SEC file number

802-134657

Source date

April 29, 2026