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 5 of 95

ALLEGIS CAPITAL MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-130083

Source date

March 31, 2026
ALLEGRO FUNDS PTY LTD
Exempt reporting adviser

SEC file number

802-113951

Source date

August 24, 2026
ALLEGRO MINERAL PARTNERS LLC
Investment adviser

SEC file number

801-135657

Source date

May 19, 2026
ALLEN CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-64514

Source date

March 31, 2026
ALLEN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-67018

Source date

August 26, 2026
ALLEN FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-132815

Source date

March 4, 2026
ALLEN INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-61985

Source date

March 30, 2026
ALLEN WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-64431

Source date

January 29, 2026
ALLEN, CHANNING SAYLES
Exempt reporting adviser

SEC file number

802-79042

Source date

March 9, 2026
ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-60350

Source date

September 2, 2026
ALLERFUND VENTURES, LLC
Exempt reporting adviser

SEC file number

802-134717

Source date

March 18, 2026
ALLEY INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-122856

Source date

March 30, 2026
ALLEYCORP ADVISERS, LLC
Exempt reporting adviser

SEC file number

802-128868

Source date

March 23, 2026
ALLGEN FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-80077

Source date

July 24, 2026
ALLIANCE ADVISORY & SECURITIES, LLC
Investment adviser

SEC file number

801-67105

Source date

September 17, 2026
ALLIANCE CONSUMER GROWTH, LLC
Investment adviser

SEC file number

801-88208

Source date

April 9, 2026
ALLIANCE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-121504

Source date

March 30, 2026
ALLIANCE OF WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135135

Source date

March 9, 2026
ALLIANCE PARTNERS LLC
Investment adviser

SEC file number

801-72413

Source date

July 2, 2026
ALLIANCE PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-133775

Source date

March 5, 2026
ALLIANCE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-110512

Source date

March 6, 2026
ALLIANCE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-121605

Source date

August 6, 2026
ALLIANCE WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-78935

Source date

February 19, 2026
ALLIANCE WEALTH MANAGEMENT PARTNERS LLC
Investment adviser

SEC file number

801-121597

Source date

March 23, 2026
ALLIANCE WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-117391

Source date

August 31, 2026
ALLIANCEBERNSTEIN CORPORATION
Investment adviser

SEC file number

801-39910

Source date

March 30, 2026
ALLIANCEBERNSTEIN HOLDING L.P.
Investment adviser

SEC file number

801-32361

Source date

March 30, 2026
ALLIANCEBERNSTEIN L.P.
Investment adviser

SEC file number

801-56720

Source date

July 7, 2026
ALLIANT SECURITIES, INC.
Investment adviser

SEC file number

801-120849

Source date

September 11, 2026
ALLIANZ CAPITAL PARTNERS GMBH
Exempt reporting adviser

SEC file number

802-134606

Source date

March 31, 2026
ALLIANZ CAPITAL PARTNERS OF AMERICA LLC
Investment adviser

SEC file number

801-74280

Source date

May 15, 2026
ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITED
Investment adviser

SEC file number

801-111691

Source date

May 27, 2026
ALLIANZ INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-60167

Source date

September 11, 2026
ALLIE FAMILY OFFICE LLC
Investment adviser

SEC file number

801-118866

Source date

March 25, 2026
ALLIED ASSET ADVISORS INC
Investment adviser

SEC file number

801-57323

Source date

August 10, 2026
ALLIED INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-79202

Source date

July 29, 2026
ALLIED PORTFOLIO MANAGEMENT, INC.
Investment adviser

SEC file number

801-61656

Source date

April 10, 2026
ALLIED PRIVATE WEALTH
Investment adviser

SEC file number

801-129089

Source date

March 25, 2026
ALLIED STRATEGIC PARTNERS MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-123651

Source date

March 30, 2026
ALLIES CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-125888

Source date

February 20, 2026
ALLISON INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-125959

Source date

July 9, 2026
ALLIUM FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-110536

Source date

July 23, 2026
ALLOCATE MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-126667

Source date

August 24, 2026
ALLOCATOR SOLUTIONS, LLC
Investment adviser

SEC file number

801-133802

Source date

March 25, 2026
ALLODIUM INVESTMENT CONSULTANTS, LLC
Investment adviser

SEC file number

801-64508

Source date

September 24, 2026
ALLOS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-72028

Source date

May 6, 2026
ALLOS VENTURE MANAGEMENT COMPANY, LTD.
Exempt reporting adviser

SEC file number

802-75217

Source date

April 1, 2026
ALLOY PARTNERS, INC.
Exempt reporting adviser

SEC file number

802-130709

Source date

February 23, 2026
ALLOYED STRATEGIES LLC
Exempt reporting adviser

SEC file number

802-137241

Source date

August 6, 2026
ALLPOINT FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-136736

Source date

June 12, 2026
ALLRED CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113900

Source date

March 17, 2026
ALLRIDGE WEALTH MANAGEMENT, P.C.
Investment adviser

SEC file number

801-135547

Source date

March 27, 2026
ALLSPRING FUNDS MANAGEMENT, LLC
Investment adviser

SEC file number

801-58237

Source date

May 13, 2026
ALLSPRING GLOBAL INVESTMENTS (SINGAPORE) PTE. LTD.
Investment adviser

SEC file number

801-127267

Source date

March 25, 2026
ALLSPRING GLOBAL INVESTMENTS (UK) LIMITED
Investment adviser

SEC file number

801-63516

Source date

March 26, 2026
ALLSPRING GLOBAL INVESTMENTS, LLC
Investment adviser

SEC file number

801-21122

Source date

May 13, 2026
ALLSQUARE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-71675

Source date

May 15, 2026
ALL-STARS INVESTMENT LIMITED
Exempt reporting adviser

SEC file number

802-112839

Source date

March 26, 2026
ALLSTATE FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-68510

Source date

April 30, 2026
ALLSTATE INVESTMENT MANAGEMENT COMPANY
Investment adviser

SEC file number

801-30535

Source date

March 25, 2026
ALLSTREET CAPITAL LLC
Investment adviser

SEC file number

801-108018

Source date

February 25, 2026
ALLSTREET FINANCIAL, LLC
Investment adviser

SEC file number

801-136032

Source date

August 13, 2026
ALLUMIA VENTURES MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-132224

Source date

March 26, 2026
ALLUVIAL CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-132753

Source date

July 23, 2026
ALLVET FINANCIAL LLC
Investment adviser

SEC file number

801-136165

Source date

September 25, 2026
ALLWORTH FINANCIAL, L.P.
Investment adviser

SEC file number

801-68255

Source date

July 29, 2026
ALLY BRIDGE GROUP (NY) LLC
Investment adviser

SEC file number

801-121984

Source date

March 31, 2026
ALLY BRIDGE GROUP (PE) LLC
Investment adviser

SEC file number

801-121989

Source date

July 1, 2026
ALLY INVEST ADVISORS INC
Investment adviser

SEC file number

801-79305

Source date

April 1, 2026
ALM FIRST FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-57980

Source date

March 30, 2026
ALMA CAPITAL LONDON LIMITED
Exempt reporting adviser

SEC file number

802-131217

Source date

March 2, 2026
ALMA GLOBAL INFRASTRUCTURE LLC
Exempt reporting adviser

SEC file number

802-117684

Source date

January 15, 2026
ALMANAC MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-127846

Source date

June 30, 2026
ALMANACK CAPITAL LP
Exempt reporting adviser

SEC file number

802-137122

Source date

July 20, 2026
ALMANACK INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-107186

Source date

July 27, 2026
ALMAZ CAPITAL MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-79539

Source date

March 28, 2026
ALMEGA WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-136105

Source date

September 25, 2026
ALMITAS CAPITAL LLC
Investment adviser

SEC file number

801-108002

Source date

May 8, 2026
ALONGSIDE, LLC
Investment adviser

SEC file number

801-131682

Source date

June 29, 2026
ALOOOLA, LLC
Investment adviser

SEC file number

801-129551

Source date

March 31, 2026
ALOTHON GROUP LLC
Exempt reporting adviser

SEC file number

802-75221

Source date

March 25, 2026
ALPACA VC INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-127816

Source date

May 1, 2026
ALPEN PARTNERS INTERNATIONAL AG
Investment adviser

SEC file number

801-112639

Source date

April 21, 2026
ALPENGLOBAL CAPITAL, LLC
Investment adviser

SEC file number

801-119789

Source date

March 13, 2026
ALPHA ADVISORS, LLC
Investment adviser

SEC file number

801-113120

Source date

August 28, 2026
ALPHA ANALYTICS INVESTMENT GROUP LLC
Investment adviser

SEC file number

801-113041

Source date

March 25, 2026
ALPHA ARCHITECT, LLC
Investment adviser

SEC file number

801-71697

Source date

August 25, 2026
ALPHA ASCENT VENTURES LLC
Exempt reporting adviser

SEC file number

802-132009

Source date

March 31, 2026
ALPHA BLUE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-128858

Source date

September 4, 2026
ALPHA CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-120376

Source date

March 19, 2026
ALPHA CAPITAL FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-118157

Source date

September 22, 2026
ALPHA CAPITAL MANAGEMENT GROUP LLC
Investment adviser

SEC file number

801-107838

Source date

March 26, 2026
ALPHA DNA INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-119457

Source date

March 19, 2026
ALPHA EV, LLC
Exempt reporting adviser

SEC file number

802-125997

Source date

March 24, 2026
ALPHA FIDUCIARY, INC.
Investment adviser

SEC file number

801-68218

Source date

September 1, 2026
ALPHA FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-109007

Source date

February 9, 2026
ALPHA FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-79666

Source date

June 26, 2026
ALPHA FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-135795

Source date

April 16, 2026
ALPHA FINANCIAL PARTNERS LLC
Investment adviser

SEC file number

801-117851

Source date

July 24, 2026
ALPHA GROWTH MANAGEMENT LLC
Investment adviser

SEC file number

801-126374

Source date

May 26, 2026
ALPHA IMPACT INVESTMENT MANAGEMENT PARTNERS LLC
Exempt reporting adviser

SEC file number

802-130060

Source date

March 31, 2026
ALPHA INNOVATIONS LTD.
Investment adviser

SEC file number

801-136077

Source date

May 1, 2026
ALPHA INVESTMENT CONSULTING GROUP, LLC
Investment adviser

SEC file number

801-66652

Source date

March 25, 2026
ALPHA JWC MANAGEMENT, LTD.
Exempt reporting adviser

SEC file number

802-123354

Source date

March 30, 2026
ALPHA JWC VENTURES PTE. LTD.
Exempt reporting adviser

SEC file number

802-123355

Source date

March 29, 2026
ALPHA LEONIS PARTNERS, LLC
Investment adviser

SEC file number

801-122692

Source date

March 30, 2026
ALPHA OMEGA FINANCIAL ADVISORY, INC.
Investment adviser

SEC file number

801-121214

Source date

February 9, 2026
ALPHA OMEGA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-70136

Source date

September 14, 2026
ALPHA PARTNERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-135146

Source date

March 31, 2026
ALPHA PAYMENT LTD
Exempt reporting adviser

SEC file number

802-134048

Source date

June 30, 2025
ALPHA PLANNING AND FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-135159

Source date

September 4, 2026
ALPHA PRIVATE EQUITY FUNDS MANAGEMENT COMPANY
Exempt reporting adviser

SEC file number

802-110130

Source date

April 2, 2025
ALPHA QUEST PTE. LTD.
Exempt reporting adviser

SEC file number

802-132225

Source date

May 7, 2026
ALPHA RIA LLC
Investment adviser

SEC file number

801-121176

Source date

July 20, 2026
ALPHA SOLUTIONS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-124857

Source date

August 4, 2026
ALPHA SQUARE GROUP S, LLC
Investment adviser

SEC file number

801-118737

Source date

August 13, 2026
ALPHA VEE ADVISORS LLC
Investment adviser

SEC file number

801-130250

Source date

May 11, 2026
ALPHA WAVE GLOBAL, LP
Investment adviser

SEC file number

801-74667

Source date

August 31, 2026
ALPHA WEALTH FUNDS, LLC
Investment adviser

SEC file number

801-132551

Source date

June 10, 2026
ALPHA WEALTH MANAGEMENT AND PLANNING LLC
Investment adviser

SEC file number

801-108554

Source date

August 3, 2026
ALPHA ZERO LLC
Investment adviser

SEC file number

801-124738

Source date

September 3, 2026
ALPHAAI CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-122266

Source date

February 23, 2026
ALPHABIT INVESTMENTS, LLC
Investment adviser

SEC file number

801-132088

Source date

March 11, 2026
ALPHABOND LLC
Investment adviser

SEC file number

801-132807

Source date

March 27, 2026
ALPHACAT MANAGERS LTD.
Exempt reporting adviser

SEC file number

802-129134

Source date

March 29, 2026
ALPHACENTRIC ADVISORS LLC
Investment adviser

SEC file number

801-79616

Source date

June 2, 2026
ALPHACHI LIMITED
Exempt reporting adviser

SEC file number

802-131467

Source date

March 30, 2026
ALPHACORE CAPITAL LLC
Investment adviser

SEC file number

801-108468

Source date

August 28, 2026
ALPHADYNE ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-71674

Source date

March 31, 2026
ALPHAENGINE GLOBAL INVESTMENT SOLUTIONS LLC
Investment adviser

SEC file number

801-137147

Source date

July 23, 2026
ALPHAFORT CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134144

Source date

March 16, 2026
ALPHAGREP UK LIMITED
Exempt reporting adviser

SEC file number

802-131912

Source date

June 26, 2026
ALPHAHILL CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-129123

Source date

March 18, 2026
ALPHA-LAB ASSET MANAGEMENT INC.
Investment adviser

SEC file number

801-128975

Source date

March 25, 2026
ALPHALEDGER INVESTMENT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-133949

Source date

May 15, 2026
ALPHAPOINT, INC.
Investment adviser

SEC file number

801-62719

Source date

March 31, 2026
ALPHAQ ADVISORS LLC
Investment adviser

SEC file number

801-121907

Source date

February 18, 2026
ALPHASIMPLEX GROUP, LLC
Investment adviser

SEC file number

801-62448

Source date

March 26, 2026
ALPHASTAR CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-72361

Source date

July 30, 2026
ALPHATRUST ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-136389

Source date

June 18, 2026
ALPHEMY CAPITAL SA
Exempt reporting adviser

SEC file number

802-131213

Source date

March 6, 2026
ALPHI CAPITAL LP
Exempt reporting adviser

SEC file number

802-132697

Source date

April 1, 2026
ALPHYN CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-132385

Source date

March 2, 2026
ALPINE ADVISORY PARTNERS, LLC
Investment adviser

SEC file number

801-136997

Source date

August 24, 2026
ALPINE ASSOCIATES MANAGEMENT INC.
Investment adviser

SEC file number

801-65726

Source date

March 26, 2026
ALPINE GROVE PARTNERS LLP
Investment adviser

SEC file number

801-74287

Source date

September 11, 2026
ALPINE HILL ADVISORS LLC
Investment adviser

SEC file number

801-127515

Source date

March 23, 2026
ALPINE INVESTMENT MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-126935

Source date

March 26, 2026
ALPINE MANAGEMENT SERVICES III, LLC
Investment adviser

SEC file number

801-73159

Source date

March 31, 2026
ALPINE PEAKS CAPITAL, LP
Exempt reporting adviser

SEC file number

802-136698

Source date

June 9, 2026
ALPINE PRIVATE CAPITAL, LLC
Investment adviser

SEC file number

801-108952

Source date

March 24, 2026
ALPINE SPACE VENTURES GP, LLC
Exempt reporting adviser

SEC file number

802-137378

Source date

August 25, 2026
ALPINE SPACE VENTURES MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-128587

Source date

March 26, 2026
ALPINE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-130531

Source date

March 27, 2026
ALPINE WOODS CAPITAL INVESTORS, LLC
Investment adviser

SEC file number

801-55110

Source date

April 21, 2026
ALPINVEST PARTNERS B.V.
Investment adviser

SEC file number

801-72890

Source date

March 31, 2026
ALPINVEST PRIVATE EQUITY INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-126208

Source date

February 10, 2026
ALPINVEST US HOLDINGS, LLC
Investment adviser

SEC file number

801-129132

Source date

July 16, 2026
ALPS ADVISORS, INC.
Investment adviser

SEC file number

801-67135

Source date

March 31, 2026
ALSARI WEALTH MANAGEMENT GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-72824

Source date

March 31, 2026
ALSIS FUNDS, LLC
Exempt reporting adviser

SEC file number

802-80365

Source date

March 4, 2026
ALSO CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-131890

Source date

July 31, 2026
ALSOP LOUIE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-75750

Source date

March 31, 2026
ALSWORTH CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113550

Source date

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

SEC file number

802-127712

Source date

March 19, 2026
ALTA ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-135204

Source date

September 26, 2026
ALTA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-50778

Source date

June 26, 2026
ALTA EQUITY PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-75371

Source date

March 31, 2026
ALTA FOX CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-121497

Source date

March 31, 2026
ALTA FUNDAMENTAL ADVISERS LLC
Investment adviser

SEC file number

801-80306

Source date

March 24, 2026
ALTA GROWTH CAPITAL, S.C.
Exempt reporting adviser

SEC file number

802-75157

Source date

April 1, 2026
ALTA PARK CAPITAL, LP
Investment adviser

SEC file number

801-110348

Source date

April 9, 2026
ALTA PARTNERS INVESTMENT MANAGER, L.P.
Exempt reporting adviser

SEC file number

802-129960

Source date

March 16, 2026
ALTA PARTNERS MANAGEMENT COMPANY, L.P.
Exempt reporting adviser

SEC file number

802-110523

Source date

March 16, 2026
ALTA SEMPER CAPITAL LLP
Exempt reporting adviser

SEC file number

802-119232

Source date

June 9, 2026
ALTA VENTURES MEXICO MANAGEMENT (GP), L.P.
Exempt reporting adviser

SEC file number

802-76556

Source date

February 25, 2026
ALTA VENTURES MEXICO, S.C.
Exempt reporting adviser

SEC file number

802-75021

Source date

February 25, 2026
ALTA WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-112848

Source date

June 26, 2026
ALTAI CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-70647

Source date

March 31, 2026
ALTAI VENTURES ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-122145

Source date

March 31, 2026
ALTAIR ADVISERS, LLC
Investment adviser

SEC file number

801-61138

Source date

March 31, 2026
ALTAIR INDUSTRIES LLC
Exempt reporting adviser

SEC file number

802-135495

Source date

July 14, 2026
ALTAMAR PARTNERS NORTH AMERICA LLC
Investment adviser

SEC file number

801-107569

Source date

March 30, 2026
ALTAMAR PRIVATE EQUITY SGIIC SAU
Exempt reporting adviser

SEC file number

802-122959

Source date

March 18, 2026
ALTAMIRA FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-132045

Source date

March 27, 2026
ALTAMONT CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-73701

Source date

March 31, 2026
ALTAMONT CAPITAL MANAGEMENT, LLC.
Investment adviser

SEC file number

801-107614

Source date

January 28, 2026
ALTAMONT WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-111987

Source date

August 7, 2026
ALTAR ROCK LLC
Investment adviser

SEC file number

801-134664

Source date

September 11, 2026
ALTARIS, LLC
Investment adviser

SEC file number

801-73296

Source date

March 31, 2026
ALTARIUS ASSET MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-117502

Source date

May 28, 2026
ALTAROC PARTNERS SAS
Exempt reporting adviser

SEC file number

802-77074

Source date

March 10, 2026
ALTAROCK PARTNERS LP
Investment adviser

SEC file number

801-80529

Source date

April 24, 2026
ALTAS CORPORATION
Exempt reporting adviser

SEC file number

802-119708

Source date

March 27, 2026
ALTER MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136048

Source date

March 28, 2026
ALTERA PRIVATE ACCESS, LLC
Investment adviser

SEC file number

801-110427

Source date

August 17, 2026
ALTERI WEALTH LLC
Investment adviser

SEC file number

801-130234

Source date

June 24, 2026
ALTERIS CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-132143

Source date

March 6, 2026
ALTERNA CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-73288

Source date

March 26, 2026
ALTERNA EQUITY PARTNERS MANAGEMENT LLC
Investment adviser

SEC file number

801-121368

Source date

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

SEC file number

801-71135

Source date

September 23, 2026
ALTERNATIVE ACCESS FUNDS, LLC
Investment adviser

SEC file number

801-119116

Source date

February 4, 2026
ALTERNATIVE CAPITAL FUND MANAGEMENT LLC
Investment adviser

SEC file number

801-130074

Source date

May 4, 2026
ALTERNATIVE FUND ADVISORS, LLC
Investment adviser

SEC file number

801-120750

Source date

March 25, 2026
ALTERNATIVE INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-117266

Source date

March 27, 2026
ALTERNATIVE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-74165

Source date

August 11, 2026
ALTERNATIVE INVESTMENT RESOURCE, LLC
Investment adviser

SEC file number

801-110958

Source date

July 30, 2026
ALTERNATIVE LIQUIDITY CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137549

Source date

September 18, 2026
ALTERNATIVE LIQUIDITY GP LLC
Exempt reporting adviser

SEC file number

802-135279

Source date

January 6, 2026
ALTERNATIVE MGMT, INC.
Exempt reporting adviser

SEC file number

802-132903

Source date

March 30, 2026
ALTERRA AFRICA ACCELERATOR MANAGER
Exempt reporting adviser

SEC file number

802-130848

Source date

March 6, 2026
ALTERRA IOS MANAGER, LLC
Investment adviser

SEC file number

801-127256

Source date

March 27, 2026
ALTES CAPITAL, LLC
Investment adviser

SEC file number

801-130444

Source date

March 5, 2026
ALTHUM ADVISORS LLC
Investment adviser

SEC file number

801-122529

Source date

March 18, 2026
ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.
Investment adviser

SEC file number

801-70809

Source date

April 28, 2026
ALTIMETER CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-73411

Source date

March 31, 2026
ALTIO CAPITAL US, LLC
Exempt reporting adviser

SEC file number

802-121631

Source date

March 30, 2026
ALTIORA FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-112389

Source date

September 9, 2026
ALTIRA GROUP LLC
Exempt reporting adviser

SEC file number

802-74615

Source date

March 25, 2026
ALTIRRA VENTURES LTD.
Exempt reporting adviser

SEC file number

802-129345

Source date

March 27, 2026
ALTITUDE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-129287

Source date

March 16, 2026
ALTITUDE VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-100489

Source date

March 30, 2026
ALTIUM INVESTMENT STRATEGIES LLC
Investment adviser

SEC file number

801-131829

Source date

March 30, 2026
ALTIUS FINANCIAL, INC.
Investment adviser

SEC file number

801-117124

Source date

March 24, 2026
ALTMAN ADVISORS, INC
Investment adviser

SEC file number

801-108135

Source date

July 30, 2026
ALTMAN INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-60387

Source date

March 17, 2026
ALTMORE CAPITAL INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-122663

Source date

May 13, 2026
ALTON ROAD CAPITAL, LP
Investment adviser

SEC file number

801-131310

Source date

March 5, 2026
ALTOR FUND II GP LIMITED
Exempt reporting adviser

SEC file number

802-75851

Source date

March 30, 2026
ALTOR FUND III GP LIMITED
Exempt reporting adviser

SEC file number

802-75860

Source date

March 31, 2026
ALTOR FUND MANAGER AB
Exempt reporting adviser

SEC file number

802-80312

Source date

March 30, 2026
ALTOS VENTURES MANAGEMENT, INC.
Investment adviser

SEC file number

801-111967

Source date

July 7, 2026
ALTRA ASSET MANAGEMENT CORP.
Exempt reporting adviser

SEC file number

802-77231

Source date

March 31, 2026
ALTRA VENTURE PARTNERS LLC
Exempt reporting adviser

SEC file number

802-131409

Source date

April 1, 2026
ALTRAVUE CAPITAL, LLC
Investment adviser

SEC file number

801-113312

Source date

January 30, 2026
ALTRIARCH ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-132040

Source date

April 30, 2026
ALTRINSIC GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-63055

Source date

March 31, 2026
ALTRIUS CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-63153

Source date

March 6, 2026
ALTRUIST ADVISORS LLC
Investment adviser

SEC file number

801-136088

Source date

September 24, 2026
ALTRUIST LLC
Investment adviser

SEC file number

801-117757

Source date

March 24, 2026
ALTUM CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73008

Source date

March 30, 2026
ALTURA CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-136885

Source date

June 27, 2026
ALTURA MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-137008

Source date

August 14, 2026
ALTURA PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-136502

Source date

July 21, 2026
ALTURA WEALTH ADVISORS INC.
Investment adviser

SEC file number

801-122486

Source date

March 27, 2026
ALTUS CAPITAL PARTNERS, INC.
Investment adviser

SEC file number

801-73571

Source date

March 25, 2026
ALTUS WEALTH GROUP, LLC
Investment adviser

SEC file number

801-110511

Source date

June 4, 2026
ALTUS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-80301

Source date

April 30, 2026
ALUA CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-119652

Source date

March 27, 2026
ALUMAN INC.
Investment adviser

SEC file number

801-132930

Source date

March 26, 2026