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 59 of 95

MUSAFFA LLC
Investment adviser

SEC file number

801-134527

Source date

July 13, 2026
MUSE CAPITAL ADVISORS, LIMITED
Exempt reporting adviser

SEC file number

802-76538

Source date

April 14, 2026
MUSE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-134745

Source date

July 29, 2026
MUSEUM MILE FUNDS LLC
Investment adviser

SEC file number

801-135582

Source date

August 20, 2026
MUSSETT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-109015

Source date

March 31, 2026
MUSTARD SEED FINANCIAL, LLC
Investment adviser

SEC file number

801-66155

Source date

March 4, 2026
MUTIMA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-108156

Source date

March 27, 2026
MUTUAL ADVISORS, LLC
Investment adviser

SEC file number

801-78089

Source date

June 25, 2026
MUTUAL CAPITAL INVESTMENT ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-121756

Source date

March 25, 2026
MUTUAL FUND PROTECTION SERVICE
Investment adviser

SEC file number

801-107321

Source date

May 19, 2026
MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-43897

Source date

March 31, 2026
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
Investment adviser

SEC file number

801-21317

Source date

March 31, 2026
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Investment adviser

SEC file number

801-61332

Source date

August 4, 2026
MUTUAL TRUST ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-121401

Source date

February 11, 2026
MUTUAL TRUST ASSET MGMT., INC.
Investment adviser

SEC file number

801-111062

Source date

August 6, 2026
MUZINICH & CO., INC.
Investment adviser

SEC file number

801-39604

Source date

June 16, 2026
MUZINICH BDC ADVISER, LLC
Investment adviser

SEC file number

801-117097

Source date

June 17, 2026
MUZINICH DIRECT LENDING ADVISER, LLC
Investment adviser

SEC file number

801-128654

Source date

June 17, 2026
MV ADVISERS LLP
Exempt reporting adviser

SEC file number

802-80395

Source date

June 3, 2026
MV CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-65709

Source date

March 31, 2026
MV FUNDS, LLC
Exempt reporting adviser

SEC file number

802-126536

Source date

March 25, 2026
MV MANAGEMENT XI, LLC
Exempt reporting adviser

SEC file number

802-75435

Source date

April 1, 2026
MVF1 GP (CANADA), LTD
Exempt reporting adviser

SEC file number

802-128481

Source date

August 17, 2026
MVM PARTNERS LLP
Exempt reporting adviser

SEC file number

802-74677

Source date

June 29, 2026
MVM PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-74926

Source date

June 29, 2026
MVOLUTION PARTNERS LLC
Exempt reporting adviser

SEC file number

802-127187

Source date

March 3, 2026
MVP MANAGEMENT COMPANY
Exempt reporting adviser

SEC file number

802-131630

Source date

March 3, 2026
MVP MANAGER LLC
Investment adviser

SEC file number

801-117440

Source date

July 28, 2026
MVP VENTURES LLC
Exempt reporting adviser

SEC file number

802-131879

Source date

March 30, 2026
MW ADVISOR, LLC
Investment adviser

SEC file number

801-131369

Source date

September 22, 2026
MW ADVISORY LLC
Investment adviser

SEC file number

801-134599

Source date

August 26, 2026
MW INVESTMENT STRATEGY
Investment adviser

SEC file number

801-112626

Source date

August 17, 2026
MWA FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-107091

Source date

May 1, 2026
MWA INVESTMENTS, LLC
Investment adviser

SEC file number

801-135701

Source date

March 16, 2026
MWM GROUP LLC
Investment adviser

SEC file number

801-76661

Source date

May 22, 2026
MWM WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-132301

Source date

September 21, 2026
MWMG ADVISORS, LLC
Investment adviser

SEC file number

801-134686

Source date

August 26, 2026
MWP ADVISORY, LLC
Investment adviser

SEC file number

801-119015

Source date

March 31, 2026
MWS CAPITAL CONSULTANTS LLC
Investment adviser

SEC file number

801-123695

Source date

February 18, 2026
MXI2 CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-127169

Source date

March 27, 2026
MXV CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-127264

Source date

March 31, 2026
MY ADVISORS US LLC
Investment adviser

SEC file number

801-136794

Source date

June 26, 2026
MY FINANCIAL AURORA LIMITED LIABILITY COMPANY
Investment adviser

SEC file number

801-131564

Source date

April 7, 2026
MY PERSONAL CFO, LLC
Investment adviser

SEC file number

801-120606

Source date

March 13, 2026
MY PORTFOLIO GUIDE, LLC
Investment adviser

SEC file number

801-129775

Source date

February 13, 2026
MY WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-78477

Source date

July 2, 2026
MY.ALPHA MANAGEMENT HK ADVISORS LIMITED
Exempt reporting adviser

SEC file number

802-123349

Source date

March 23, 2026
MYASIA VC, LLC
Exempt reporting adviser

SEC file number

802-120082

Source date

March 25, 2026
MYCIO WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-64053

Source date

July 31, 2026
MYCOR CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-127282

Source date

August 17, 2026
MYDA ADVISORS LLC
Investment adviser

SEC file number

801-108431

Source date

March 17, 2026
MYECFO, LLC
Investment adviser

SEC file number

801-120679

Source date

February 27, 2026
MYELIN II MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-123291

Source date

March 17, 2026
MYRA ADVISORS LLC
Investment adviser

SEC file number

801-120070

Source date

January 4, 2026
MYRIAD ASSET MANAGEMENT ADVISORS LLC
Investment adviser

SEC file number

801-134132

Source date

February 3, 2026
MYRIAD VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-127825

Source date

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

SEC file number

802-130029

Source date

March 27, 2026
MYSIA CRYPTOCURRENCY EXCHANGE LTD
Exempt reporting adviser

SEC file number

802-132777

Source date

April 14, 2025
MYSTIC ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-79418

Source date

March 2, 2026
MYTHOS VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135430

Source date

January 27, 2026
MYTIMEEQUITY, LLC
Investment adviser

SEC file number

801-136955

Source date

September 4, 2026
MZ CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130471

Source date

March 17, 2026
N.E.W. ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-112037

Source date

March 31, 2026
N.L.C. LLC
Investment adviser

SEC file number

801-136945

Source date

August 9, 2026
N.V.N.G. INVESTMENTS, INC.
Investment adviser

SEC file number

801-113011

Source date

January 29, 2026
N10 ASSETS, LLC.
Investment adviser

SEC file number

801-136309

Source date

August 21, 2026
N10 WEALTH, LLC
Investment adviser

SEC file number

801-136307

Source date

August 14, 2026
N2 CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-100376

Source date

March 24, 2026
N49P MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135894

Source date

March 19, 2026
NAAB CAPITAL LLC
Exempt reporting adviser

SEC file number

802-136188

Source date

April 2, 2026
NABITY-JENSEN INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-118341

Source date

March 6, 2026
NADLER FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-61462

Source date

August 31, 2026
NAHKODA CAPITAL MANAGEMENT USA, LLC
Exempt reporting adviser

SEC file number

802-127587

Source date

March 31, 2026
NAKOMA CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136033

Source date

March 27, 2026
NALANDA CAPITAL PTE LTD.
Exempt reporting adviser

SEC file number

802-75209

Source date

March 11, 2026
NAMSOFT ADVISORS, LLC
Investment adviser

SEC file number

801-134724

Source date

May 7, 2026
NANO-CAP NEW MILLENNIUM ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-78110

Source date

February 10, 2026
NANODIMENSION AG
Exempt reporting adviser

SEC file number

802-122039

Source date

March 31, 2026
NANODIMENSION, INC.
Exempt reporting adviser

SEC file number

802-120198

Source date

April 1, 2026
NANTAHALA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-72481

Source date

September 14, 2026
NANTAS LLC
Investment adviser

SEC file number

801-134246

Source date

April 13, 2026
NANTUCKET MULTI MANAGERS, LLC
Investment adviser

SEC file number

801-62592

Source date

February 2, 2026
NAPIER FINANCIAL, LLC
Investment adviser

SEC file number

801-133755

Source date

July 17, 2026
NAPIER PARK GLOBAL CAPITAL (US) LP
Investment adviser

SEC file number

801-77543

Source date

May 13, 2026
NAPIER PARK GLOBAL CAPITAL LTD
Investment adviser

SEC file number

801-72524

Source date

April 8, 2026
NAPLES ASSET MANAGEMENT CO., LLC
Investment adviser

SEC file number

801-66945

Source date

June 3, 2026
NAPLES GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-72600

Source date

May 18, 2026
NAPLES MONEY MANAGEMENT LLC
Investment adviser

SEC file number

801-71295

Source date

April 6, 2026
NAPLES PRIVATE CAPITAL, LLC
Investment adviser

SEC file number

801-136420

Source date

May 11, 2026
NAPLES WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136844

Source date

June 25, 2026
NAPLES WEALTH PLANNING, LLC
Investment adviser

SEC file number

801-129895

Source date

April 1, 2026
NAPRAFORGO CREDIT KFT.
Exempt reporting adviser

SEC file number

802-120853

Source date

March 25, 2026
NARDIS ADVISORS LLC
Investment adviser

SEC file number

801-106867

Source date

March 26, 2026
NARROW GATE ENERGY, LLC
Exempt reporting adviser

SEC file number

802-136577

Source date

May 26, 2026
NARROW GAUGE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-124796

Source date

March 30, 2026
NARROW WATER PARTNERS LTD
Exempt reporting adviser

SEC file number

802-130520

Source date

June 19, 2026
NARSAR ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132379

Source date

March 30, 2026
NARUS FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-80500

Source date

March 9, 2026
NARWHAL CAPITAL MANAGMENT, LLC
Investment adviser

SEC file number

801-66563

Source date

August 31, 2026
NARYA CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118297

Source date

March 31, 2026
NASDAQ ESOP INC
Exempt reporting adviser

SEC file number

802-137381

Source date

August 25, 2026
NASEEB INC
Investment adviser

SEC file number

801-130613

Source date

March 26, 2026
NASSAU ALTERNATIVE INVESTMENTS LLC
Investment adviser

SEC file number

801-117014

Source date

July 21, 2026
NASSAU CORAMERICA LLC
Investment adviser

SEC file number

801-131834

Source date

July 21, 2026
NASSAU GLOBAL CREDIT LLC
Investment adviser

SEC file number

801-110188

Source date

July 21, 2026
NASSAU PRIVATE CREDIT LLC
Investment adviser

SEC file number

801-114864

Source date

July 21, 2026
NATARE CAPITAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-113294

Source date

May 20, 2026
NATIONAL INVESTMENT AND INFRASTRUCTURE FUND LIMITED
Exempt reporting adviser

SEC file number

802-120608

Source date

June 18, 2026
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
Investment adviser

SEC file number

801-118132

Source date

May 1, 2026
NATIONAL MUTUAL FUNDS MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-127935

Source date

March 23, 2026
NATIONAL REAL ESTATE ADVISORS, LLC
Investment adviser

SEC file number

801-70744

Source date

March 26, 2026
NATIONAL VENTURE DEVELOPMENT
Exempt reporting adviser

SEC file number

802-74604

Source date

March 27, 2026
NATIONAL WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-80983

Source date

September 9, 2026
NATIONS FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-57407

Source date

March 18, 2026
NATIONWIDE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-67833

Source date

March 10, 2026
NATIONWIDE FUND ADVISORS
Investment adviser

SEC file number

801-56370

Source date

February 12, 2026
NATIONWIDE INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-52664

Source date

May 13, 2026
NATIONWIDE SECURITIES, LLC
Investment adviser

SEC file number

801-69260

Source date

July 16, 2026
NATIVE AMERICAN FUND ADVISORS LLC
Investment adviser

SEC file number

801-57618

Source date

April 30, 2026
NATIXIS ADVISORS, LLC
Investment adviser

SEC file number

801-48408

Source date

March 27, 2026
NATURAL BRIDGES FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-132940

Source date

June 10, 2026
NATURAL CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130836

Source date

August 4, 2026
NATURAL INVESTMENTS PBLLC
Investment adviser

SEC file number

801-63874

Source date

February 24, 2026
NATURE INFRASTRUCTURE CAPITAL
Exempt reporting adviser

SEC file number

802-136956

Source date

June 30, 2026
NATWEALTH MANAGEMENT (USA) INC
Investment adviser

SEC file number

801-119519

Source date

December 9, 2025
NATWEST BANK PLC (UK)
Investment adviser

SEC file number

801-73364

Source date

August 3, 2026
NAUTA CAPITAL LLC
Investment adviser

SEC file number

801-131212

Source date

March 29, 2026
NAUTIC PARTNERS, LLC
Investment adviser

SEC file number

801-73944

Source date

April 30, 2026
NAUTILUS ADVISORS LLC
Investment adviser

SEC file number

801-71754

Source date

February 25, 2026
NAUTILUS PARENT HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-134136

Source date

July 9, 2025
NAUTILUS VENTURES ADVISORS US, LLC
Exempt reporting adviser

SEC file number

802-115134

Source date

March 13, 2026
NAUTILUS VENTURES MANAGEMENT COMPANY (US), LLC
Exempt reporting adviser

SEC file number

802-106986

Source date

March 13, 2026
NAVA VENTURES, LLC
Exempt reporting adviser

SEC file number

802-123574

Source date

May 5, 2026
NAVALIGN, LLC
Investment adviser

SEC file number

801-66206

Source date

April 2, 2026
NAVELLIER & ASSOCIATES INC
Investment adviser

SEC file number

801-30582

Source date

May 11, 2026
NAVEMAR CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-114382

Source date

March 27, 2026
NAVI INTL-ADMINISTRADORA E GESTORA DE RECURSOS FINANCEIROS LTDA.
Investment adviser

SEC file number

801-131062

Source date

March 30, 2026
NAVIAN INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-137154

Source date

July 31, 2026
NAVIANT PARTNERS, LLC
Investment adviser

SEC file number

801-134802

Source date

March 23, 2026
NAVIGANT CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132532

Source date

March 27, 2026
NAVIGATE 401K, LLC
Investment adviser

SEC file number

801-119101

Source date

April 27, 2026
NAVIGATE FINANCIAL LLC
Investment adviser

SEC file number

801-128078

Source date

January 30, 2026
NAVIGATE PRIVATE FUND ADVISORS LLC
Investment adviser

SEC file number

801-121301

Source date

February 16, 2026
NAVIGATE PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-79648

Source date

March 10, 2026
NAVIGATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-114048

Source date

August 10, 2026
NAVIGATION CAPITAL PARTNERS, INC.
Exempt reporting adviser

SEC file number

802-129215

Source date

January 8, 2026
NAVIGATION GROUP LLC
Investment adviser

SEC file number

801-110408

Source date

March 26, 2026
NAVIGATION WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-119615

Source date

March 11, 2026
NAVIGO WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-135369

Source date

April 20, 2026
NAVIGOE, LLC
Investment adviser

SEC file number

801-78471

Source date

August 5, 2026
NAVIMED CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-119184

Source date

April 27, 2026
NAVIQUANT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127544

Source date

June 15, 2026
NAVIS CAPITAL PARTNERS LTD.
Exempt reporting adviser

SEC file number

802-74720

Source date

June 25, 2026
NAVIS WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-119746

Source date

September 1, 2026
NAVISTA WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-131013

Source date

March 5, 2026
NAVITAS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118938

Source date

March 30, 2026
NAVITER WEALTH, LLC
Investment adviser

SEC file number

801-120077

Source date

September 4, 2026
NAVPOINT FINANCIAL, INC.
Investment adviser

SEC file number

801-55229

Source date

March 25, 2026
NAVY CAPITAL GREEN MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130071

Source date

May 6, 2026
NAVY FEDERAL INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-68067

Source date

May 19, 2026
NAXICAP PARTNERS
Exempt reporting adviser

SEC file number

802-126106

Source date

March 30, 2026
NAYA CAPITAL MANAGEMENT UK LIMITED
Investment adviser

SEC file number

801-113859

Source date

September 16, 2026
NAYA MANAGEMENT (DIFC) LIMITED
Exempt reporting adviser

SEC file number

802-134393

Source date

March 30, 2026
NAYLOR & COMPANY INVESTMENTS, LLC
Investment adviser

SEC file number

801-136313

Source date

July 22, 2026
NAYLOR CAPITAL LLC
Investment adviser

SEC file number

801-130719

Source date

March 21, 2026
NB ACCESS GP, LLC
Exempt reporting adviser

SEC file number

802-133725

Source date

March 26, 2026
NB ALTERNATIVES ADVISERS LLC
Investment adviser

SEC file number

801-70009

Source date

March 27, 2026
NBM MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-80321

Source date

March 27, 2026
NBT CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-30786

Source date

June 4, 2026
NBZ INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-62087

Source date

March 25, 2026
NC MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-129667

Source date

February 24, 2026
NCA LOAN INVESTORS, LLC
Exempt reporting adviser

SEC file number

802-130530

Source date

March 13, 2026
NCAF MANAGEMENT III, LLC
Exempt reporting adviser

SEC file number

802-121796

Source date

March 24, 2026
NCCS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137042

Source date

July 9, 2026
NCH CAPITAL INC.
Investment adviser

SEC file number

801-72916

Source date

May 15, 2026
NCM CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-101518

Source date

March 29, 2026
NCN MANAGEMENT COMPANY IV, LLC
Exempt reporting adviser

SEC file number

802-125960

Source date

March 30, 2026
NCN MANAGEMENT COMPANY PF, LLC
Exempt reporting adviser

SEC file number

802-111669

Source date

March 30, 2026
NCP GROUP, LP
Investment adviser

SEC file number

801-113133

Source date

March 27, 2026
NCP MANAGEMENT HOLDINGS, INC.
Investment adviser

SEC file number

801-73399

Source date

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

SEC file number

802-75975

Source date

March 31, 2026
NCW ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-80264

Source date

March 18, 2026
NDB ZEPHYR PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-80989

Source date

March 9, 2026
NDH OPPORTUNITY LLC
Investment adviser

SEC file number

801-136930

Source date

July 9, 2026
NDURE GLOBAL LLC
Investment adviser

SEC file number

801-128647

Source date

March 19, 2026
NDWM LLC
Investment adviser

SEC file number

801-123689

Source date

February 2, 2026
NEA MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-127227

Source date

August 26, 2026
NEA MEMBER BENEFITS
Investment adviser

SEC file number

801-64989

Source date

July 29, 2026
NEARINGPOINT VENTURE PARTNERS INC.
Exempt reporting adviser

SEC file number

802-135431

Source date

January 27, 2026
NEARSIDE ADVISORS, LLC
Investment adviser

SEC file number

801-136194

Source date

August 10, 2026
NEBARI PARTNERS, LLC
Investment adviser

SEC file number

801-122778

Source date

May 1, 2026
NEBRODI PARTNERS, LLC
Investment adviser

SEC file number

801-80861

Source date

March 11, 2026
NEBULAR MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135974

Source date

March 25, 2026
NECTARINE FINANCIAL, INC.
Investment adviser

SEC file number

801-128604

Source date

August 3, 2026
NED DAVIS RESEARCH, INC.
Investment adviser

SEC file number

801-60241

Source date

December 18, 2025
NEEDHAM & COMPANY, LLC
Investment adviser

SEC file number

801-62735

Source date

March 19, 2026
NEEDHAM INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-50449

Source date

March 30, 2026
NEEDHAM R B ADVISORY CORP
Investment adviser

SEC file number

801-132495

Source date

August 5, 2026
NEEV TECHNOLOGIES INC
Exempt reporting adviser

SEC file number

802-134242

Source date

July 28, 2025
NEIL JESANI WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-131785

Source date

August 18, 2026
NEIMAN FUNDS MANAGEMENT LLC
Investment adviser

SEC file number

801-70650

Source date

February 10, 2026
NEL MEZZO LLC
Investment adviser

SEC file number

801-137257

Source date

August 14, 2026
NELLORE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-119279

Source date

March 31, 2026
NELSON CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-62601

Source date

April 2, 2026
NELSON ENTERPRISES LLC
Investment adviser

SEC file number

801-128579

Source date

February 21, 2026
NELSON SECURITIES,INC.
Investment adviser

SEC file number

801-41346

Source date

September 5, 2026
NEMAN VENTURES LLC
Investment adviser

SEC file number

801-136912

Source date

July 2, 2026
NEMO CAPITAL
Investment adviser

SEC file number

801-115277

Source date

March 31, 2026
NEO ALTERNATIVE ASSET MANAGERS PRIVATE LIMITED - IFSC BRANCH
Exempt reporting adviser

SEC file number

802-134585

Source date

June 29, 2026
NEO INVESTMENT PARTNERS LLP
Exempt reporting adviser

SEC file number

802-78584

Source date

March 30, 2026
NEO IVY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-117018

Source date

March 30, 2026
NEO VENTURES, LLC
Exempt reporting adviser

SEC file number

802-113137

Source date

June 8, 2026
NEO-CRITERION CAPITAL LIMITED
Investment adviser

SEC file number

801-107235

Source date

March 27, 2026
NEOMICS INSTITUTE INC
Exempt reporting adviser

SEC file number

802-137377

Source date

August 25, 2026
NEON BRIGHT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130647

Source date

March 30, 2026
NEOS INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-126101

Source date

March 30, 2026
NEOS PARTNERS, LP
Investment adviser

SEC file number

801-130830

Source date

May 15, 2026
NEOSTELLAR ADVISORS LLC
Investment adviser

SEC file number

801-136737

Source date

June 18, 2026
NEOTENY MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-115200

Source date

March 31, 2026
NEOTRIBE MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-112943

Source date

March 13, 2026
NEPC, LLC
Investment adviser

SEC file number

801-37227

Source date

September 22, 2026
NEPHILA ADVISORS LLC
Investment adviser

SEC file number

801-72587

Source date

August 31, 2026
NEPHILA CAPITAL LTD.
Investment adviser

SEC file number

801-63514

Source date

March 20, 2026
NEPSIS, INC.
Investment adviser

SEC file number

801-67023

Source date

February 4, 2026
NERDWALLET ADVISORY LLC
Investment adviser

SEC file number

801-127978

Source date

August 6, 2026
NERDWALLET WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-133943

Source date

September 21, 2026
NERY ASSET MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136107

Source date

March 31, 2026
NEST EGG ETFS, LLC
Investment adviser

SEC file number

801-131316

Source date

March 23, 2026
NEST INVESTMENTS LLC
Investment adviser

SEC file number

801-108790

Source date

August 13, 2026
NESTED RAILS, LLC
Exempt reporting adviser

SEC file number

802-112258

Source date

March 1, 2026
NESTEGG ADVISORS, INC.
Investment adviser

SEC file number

801-127294

Source date

June 30, 2026
NESTEGGS RETIREMENT PLAN SERVICES, INC.
Investment adviser

SEC file number

801-63869

Source date

July 7, 2026
NESTGSV INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-136924

Source date

July 6, 2026
NESTLERODE & LOY, INC.
Investment adviser

SEC file number

801-112333

Source date

December 23, 2025
NET RETURN ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-74017

Source date

March 24, 2026
NET WORTH ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-65548

Source date

March 23, 2026
NETLEY CAPITAL (UK) LIMITED
Exempt reporting adviser

SEC file number

802-137527

Source date

September 15, 2026
NETWORK 1 FINANCIAL FUND ADVISER, LLC
Exempt reporting adviser

SEC file number

802-122665

Source date

March 30, 2026
NETWORK CAPITAL LLC
Investment adviser

SEC file number

801-136233

Source date

April 14, 2026
NETWORK INVESTMENT ADVISORS INCORPORATED
Investment adviser

SEC file number

801-112346

Source date

April 1, 2025
NETWORTH ADVISORS, LLC
Investment adviser

SEC file number

801-128933

Source date

May 19, 2026
NETWORTH ASSET MANAGEMENT, INC
Investment adviser

SEC file number

801-129943

Source date

March 30, 2026
NETWORTH FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-132858

Source date

March 9, 2026
NETWORTH LITERACY, INC
Investment adviser

SEC file number

801-128210

Source date

August 25, 2026
NETZ-GAIA PARTNERS ISRAEL LTD
Exempt reporting adviser

SEC file number

802-131752

Source date

August 30, 2026
NEUBERGER BERMAN AIFM SARL
Exempt reporting adviser

SEC file number

802-118524

Source date

March 27, 2026
NEUBERGER BERMAN ASIA LIMITED
Investment adviser

SEC file number

801-71669

Source date

March 30, 2026
NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED
Exempt reporting adviser

SEC file number

802-132073

Source date

March 27, 2026
NEUBERGER BERMAN BD LLC
Investment adviser

SEC file number

801-3908

Source date

March 27, 2026
NEUBERGER BERMAN CANADA ULC
Investment adviser

SEC file number

801-108509

Source date

April 14, 2026