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 6 of 95

ALUMENIS CAPITAL MANAGEMENT GMBH LTD
Exempt reporting adviser

SEC file number

802-135526

Source date

February 9, 2026
ALUMINA INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-76782

Source date

March 27, 2026
ALUMNI VENTURES, LLC
Exempt reporting adviser

SEC file number

802-112318

Source date

March 24, 2026
ALVEO WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-106917

Source date

February 10, 2026
ALVIN CLAY FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-132864

Source date

May 13, 2026
ALWALEED X.AI INC.
Exempt reporting adviser

SEC file number

802-135093

Source date

March 31, 2026
ALYESKA INVESTMENT GROUP, L.P.
Investment adviser

SEC file number

801-71962

Source date

March 23, 2026
AM ADVISORS
Exempt reporting adviser

SEC file number

802-107933

Source date

April 30, 2026
AM INVESTMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-77283

Source date

February 11, 2026
AM SQUARED LIMITED
Exempt reporting adviser

SEC file number

802-118141

Source date

January 29, 2026
AMADEUS CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-75313

Source date

June 30, 2026
AMALIA PARTNER AG
Investment adviser

SEC file number

801-135009

Source date

January 31, 2026
AMALTASH ADVISORS LLC
Investment adviser

SEC file number

801-135794

Source date

September 21, 2026
AMANSA CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-74123

Source date

April 29, 2026
AMARA FINANCIAL, LLC
Investment adviser

SEC file number

801-118722

Source date

May 22, 2026
AMASIA MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-96188

Source date

September 9, 2026
AMAZZ INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-85194

Source date

March 18, 2026
AMBARONE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137371

Source date

August 24, 2026
AMBER CAPITAL UK LLP
Exempt reporting adviser

SEC file number

802-121453

Source date

June 29, 2026
AMBER INFRASTRUCTURE INVESTMENT ADVISOR LLC
Investment adviser

SEC file number

801-128861

Source date

April 9, 2026
AMBER ROAD INVESTORS LP
Investment adviser

SEC file number

801-136446

Source date

May 7, 2026
AMBER TRUST II MANAGEMENT S.A.
Exempt reporting adviser

SEC file number

802-75406

Source date

March 31, 2026
AMBERJACK CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-73585

Source date

September 22, 2026
AMBERLAKE PARTNERS SAM
Investment adviser

SEC file number

801-126126

Source date

March 19, 2026
AMBERSTONE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-122400

Source date

March 25, 2026
AMBIENTA SGR S.P.A.
Exempt reporting adviser

SEC file number

802-112795

Source date

April 3, 2026
AMBINA PARTNERS LLC
Exempt reporting adviser

SEC file number

802-114440

Source date

March 25, 2026
AMBIX VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126131

Source date

March 27, 2026
AMBOY STREET VENTURES, LLC
Exempt reporting adviser

SEC file number

802-132986

Source date

April 1, 2026
AMBROSE CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-136157

Source date

September 1, 2026
AMELIORA WEALTH MANAGEMENT LTD.
Investment adviser

SEC file number

801-76787

Source date

March 24, 2026
AMERANT INVESTMENTS, INC.
Investment adviser

SEC file number

801-61889

Source date

April 22, 2026
AMERAUDI ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-115201

Source date

March 26, 2026
AMERGIN ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-126990

Source date

March 19, 2026
AMERICA COSTONE INVESTMENT ADVISERS INC.
Exempt reporting adviser

SEC file number

802-128757

Source date

March 25, 2026
AMERICA FIRST INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-41702

Source date

August 7, 2026
AMERICAN ALPHA ADVISORS, LLC
Investment adviser

SEC file number

801-114799

Source date

March 27, 2026
AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-65209

Source date

March 25, 2026
AMERICAN BEACON ADVISORS, INC.
Investment adviser

SEC file number

801-29198

Source date

March 26, 2026
AMERICAN CAPITAL ADVISORY, LLC
Investment adviser

SEC file number

801-112853

Source date

March 31, 2026
AMERICAN CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-15254

Source date

June 30, 2026
AMERICAN CENTURY INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-8174

Source date

March 31, 2026
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
Investment adviser

SEC file number

801-111963

Source date

March 31, 2026
AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-132912

Source date

March 30, 2026
AMERICAN DISCOVERY INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-126613

Source date

June 2, 2026
AMERICAN EXPATS IN EUROPE LTD.
Investment adviser

SEC file number

801-124964

Source date

May 27, 2026
AMERICAN FINANCIAL & TAX STRATEGIES, INC.
Investment adviser

SEC file number

801-44737

Source date

January 20, 2026
AMERICAN FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-56857

Source date

February 10, 2026
AMERICAN FINANCIAL ADVISORS, LLC.
Investment adviser

SEC file number

801-60761

Source date

September 3, 2026
AMERICAN FINANCIAL MANAGEMENT, LTD.
Investment adviser

SEC file number

801-20003

Source date

February 16, 2026
AMERICAN FUNDSTARS FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-126339

Source date

December 25, 2025
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Investment adviser

SEC file number

801-69138

Source date

March 31, 2026
AMERICAN INFRASTRUCTURE PARTNERS, LLC
Investment adviser

SEC file number

801-114344

Source date

March 31, 2026
AMERICAN INVESTMENT ADVISORS INC
Investment adviser

SEC file number

801-130760

Source date

March 25, 2026
AMERICAN INVESTMENT SERVICES INC
Investment adviser

SEC file number

801-14337

Source date

March 31, 2026
AMERICAN MONEY MANAGEMENT CORPORATION ("AMMC")
Investment adviser

SEC file number

801-74530

Source date

March 4, 2026
AMERICAN MONEY MANAGEMENT, LLC
Investment adviser

SEC file number

801-60976

Source date

March 24, 2026
AMERICAN MORTGAGE INVESTMENT PARTNERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-108461

Source date

June 24, 2026
AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.
Investment adviser

SEC file number

801-58004

Source date

March 18, 2026
AMERICAN PACIFIC GROUP, L.P.
Investment adviser

SEC file number

801-118025

Source date

March 23, 2026
AMERICAN REALTY ADVISORS, LLC
Investment adviser

SEC file number

801-37721

Source date

April 30, 2026
AMERICAN RETIREMENT PLANNING GROUP INC
Investment adviser

SEC file number

801-110254

Source date

August 18, 2026
AMERICAN SECURITIES LLC
Investment adviser

SEC file number

801-73714

Source date

May 14, 2026
AMERICAN TRIPLE I, LLC
Investment adviser

SEC file number

801-127047

Source date

March 31, 2026
AMERICAN TRUST INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-60454

Source date

September 2, 2026
AMERICAN VENTURES IM LLC
Investment adviser

SEC file number

801-136979

Source date

September 4, 2026
AMERICAN VO IM LLC
Exempt reporting adviser

SEC file number

802-137221

Source date

August 3, 2026
AMERICAN WEALTH ADMINISTRATION GROUP LLC
Investment adviser

SEC file number

801-107222

Source date

July 8, 2026
AMERICAN WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135951

Source date

August 17, 2026
AMERICAN WEALTH MANAGEMENT
Investment adviser

SEC file number

801-70453

Source date

June 24, 2026
AMERICAN WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-66163

Source date

September 3, 2026
AMERICANA PARTNERS, LLC
Investment adviser

SEC file number

801-115018

Source date

April 29, 2026
AMERICA'S FRONTIER MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132662

Source date

March 30, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-28543

Source date

September 25, 2026
AMERISERV WEALTH ADVISORS INC
Investment adviser

SEC file number

801-47835

Source date

March 20, 2026
AMERISOURCE FUND MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135473

Source date

March 27, 2026
AMERITAS ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-55153

Source date

July 20, 2026
AMERITAS INVESTMENT PARTNERS, INC.
Investment adviser

SEC file number

801-55150

Source date

March 25, 2026
AMERITY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-127745

Source date

June 16, 2026
AMERRA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-72107

Source date

March 31, 2026
AMFAM VC MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-117283

Source date

March 2, 2026
AMG ASSET MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-125697

Source date

June 15, 2026
AMG FUNDS LLC
Investment adviser

SEC file number

801-56365

Source date

March 30, 2026
AMH EQUITY LTD
Investment adviser

SEC file number

801-74397

Source date

March 11, 2026
AMHERST CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-80720

Source date

March 31, 2026
AMI ASSET MANAGEMENT CORP
Investment adviser

SEC file number

801-47318

Source date

July 23, 2026
AMI ENTERPRISES INC.
Investment adviser

SEC file number

801-136622

Source date

July 17, 2026
AMI INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-49335

Source date

March 24, 2026
AMIA CAPITAL LLP
Exempt reporting adviser

SEC file number

802-110715

Source date

June 25, 2026
AMICORP WEALTH SERVICES LLC
Investment adviser

SEC file number

801-125013

Source date

March 24, 2026
AMICUS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-113147

Source date

March 30, 2026
AMICUS INDIA CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-130844

Source date

June 17, 2026
AMIDON & PETERSEN FINANCIALS, LLC
Investment adviser

SEC file number

801-81020

Source date

July 2, 2026
AMINO CAPITAL MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-120838

Source date

March 4, 2026
AMITI VENTURES MANAGEMENT 4 LTD.
Exempt reporting adviser

SEC file number

802-137357

Source date

August 31, 2026
AMITY VENTURES, LLC
Investment adviser

SEC file number

801-126293

Source date

March 30, 2026
AMJ FINANCIAL WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-113970

Source date

March 19, 2026
AMOON VENTURES Y.SH. LTD.
Exempt reporting adviser

SEC file number

802-126463

Source date

March 10, 2026
AMOVA ASSET MANAGEMENT AMERICAS, INC.
Investment adviser

SEC file number

801-60881

Source date

June 26, 2026
AMOVA ASSET MANAGEMENT ASIA LIMITED
Investment adviser

SEC file number

801-74399

Source date

June 25, 2026
AMOVA ASSET MANAGEMENT CO., LTD.
Investment adviser

SEC file number

801-56686

Source date

September 24, 2026
AMOVA ASSET MANAGEMENT UK LIMITED
Investment adviser

SEC file number

801-30801

Source date

September 14, 2026
AMP FOUNDRY GP, L.L.C.
Exempt reporting adviser

SEC file number

802-136242

Source date

June 30, 2026
AMP FOUNDRY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136975

Source date

June 30, 2026
AMPERSAND CAPITAL GROUP, L.P.
Investment adviser

SEC file number

801-133790

Source date

March 12, 2026
AMPERSAND MANAGEMENT LLC
Investment adviser

SEC file number

801-73588

Source date

March 30, 2026
AMPFIELD MANAGEMENT, L.P.
Investment adviser

SEC file number

801-114599

Source date

April 22, 2026
AMPHORA EQUITY PARTNERS LLC
Exempt reporting adviser

SEC file number

802-134451

Source date

March 24, 2026
AMPHORA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-125693

Source date

March 30, 2026
AMPLE WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-137025

Source date

August 14, 2026
AMPLIFY ENDOWMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-128812

Source date

March 30, 2026
AMPLIFY FINANCIAL, LLC
Investment adviser

SEC file number

801-128942

Source date

September 23, 2026
AMPLIFY INVESTMENTS LLC
Investment adviser

SEC file number

801-80692

Source date

March 27, 2026
AMPLIFY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-77943

Source date

April 29, 2026
AMPLIO II PRIVATE EQUITY AB
Exempt reporting adviser

SEC file number

802-137124

Source date

August 4, 2026
AMPLIO PRIVATE EQUITY AB
Exempt reporting adviser

SEC file number

802-127847

Source date

March 19, 2026
AMPLIUS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-132157

Source date

September 24, 2026
AMPLIUS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-120341

Source date

July 14, 2026
AMR ACTION FUND GP GMBH
Exempt reporting adviser

SEC file number

802-132677

Source date

March 31, 2026
AMR ACTION FUND GP, LLC
Exempt reporting adviser

SEC file number

802-120537

Source date

March 31, 2026
AMR CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-133007

Source date

July 28, 2026
AMSTEAD GROUP LLC
Exempt reporting adviser

SEC file number

802-137338

Source date

September 10, 2026
AMULET CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-110934

Source date

March 30, 2026
AMULETUM INVESTMENT GROUP LLC SERIES 1
Exempt reporting adviser

SEC file number

802-137352

Source date

August 21, 2026
AMUNDI US INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-131764

Source date

March 31, 2026
AMUNDSEN INVESTMENT MANAGEMENT
Exempt reporting adviser

SEC file number

802-121515

Source date

March 13, 2026
AMUNI FINANCIAL, INC.
Investment adviser

SEC file number

801-120481

Source date

March 12, 2026
AMWAL CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-118826

Source date

February 17, 2026
AN EXCEPTIONAL LIFE FINANCIAL, LLC
Investment adviser

SEC file number

801-123528

Source date

March 26, 2026
AN ORDINARY HOLDCO LTD
Exempt reporting adviser

SEC file number

802-119963

Source date

February 2, 2026
ANABRANCH CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-118876

Source date

March 17, 2026
ANACAP FINANCIAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-118410

Source date

June 2, 2026
ANACAPA CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-78823

Source date

March 28, 2026
ANAGRAM ASSET MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-133791

Source date

July 22, 2026
ANAGRAM CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-134715

Source date

July 16, 2026
ANALOG CENTURY MANAGEMENT LP
Investment adviser

SEC file number

801-119177

Source date

March 30, 2026
ANALYST ALPHA GENERATION LIMITED
Investment adviser

SEC file number

801-76777

Source date

July 1, 2026
ANALYST PORTFOLIO MANAGEMENT LTD.
Investment adviser

SEC file number

801-50826

Source date

March 26, 2026
ANALYZE FUTURE LLC
Investment adviser

SEC file number

801-123352

Source date

March 31, 2026
ANANYM CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-130952

Source date

March 31, 2026
ANAR MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-115086

Source date

March 30, 2026
ANATOLE INVESTMENT MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-118027

Source date

March 31, 2026
ANAVIO CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-107056

Source date

January 26, 2026
ANAX FINANCIAL GROUP
Exempt reporting adviser

SEC file number

802-132956

Source date

March 10, 2026
ANCALA PARTNERS LLC
Investment adviser

SEC file number

801-131857

Source date

April 27, 2026
ANCALA PARTNERS LLP
Exempt reporting adviser

SEC file number

802-118511

Source date

June 30, 2026
ANCHOR & OAK WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136471

Source date

August 7, 2026
ANCHOR BAY CAPITAL, INC.
Investment adviser

SEC file number

801-107983

Source date

March 23, 2026
ANCHOR BAY PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-128521

Source date

March 23, 2026
ANCHOR CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-18930

Source date

March 16, 2026
ANCHOR CAPITAL MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-120596

Source date

March 2, 2026
ANCHOR CAPITAL MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-61643

Source date

March 30, 2026
ANCHOR CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-79631

Source date

April 15, 2026
ANCHOR EQUITY PARTNERS I GP (CAYMAN), LTD.
Exempt reporting adviser

SEC file number

802-112816

Source date

March 18, 2026
ANCHOR EQUITY PARTNERS II GP (CAYMAN), LTD.
Exempt reporting adviser

SEC file number

802-106588

Source date

March 18, 2026
ANCHOR EQUITY PARTNERS III GP (CAYMAN), LTD.
Exempt reporting adviser

SEC file number

802-113181

Source date

March 18, 2026
ANCHOR EQUITY PARTNERS IV GP (CAYMAN), LTD.
Exempt reporting adviser

SEC file number

802-122336

Source date

March 18, 2026
ANCHOR HEALTH CAPITAL, LLC
Investment adviser

SEC file number

801-119567

Source date

March 27, 2026
ANCHOR INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-64338

Source date

March 19, 2026
ANCHOR POINT FINANCIAL LLC
Investment adviser

SEC file number

801-131927

Source date

February 16, 2026
ANCHOR WEALTH MANAGEMENT GROUP LLC
Investment adviser

SEC file number

801-129794

Source date

March 5, 2026
ANCHORAGE CAPITAL ADVISORS, L.P.
Investment adviser

SEC file number

801-129231

Source date

August 27, 2026
ANCHORAGE CAPITAL GROUP, L.L.C.
Investment adviser

SEC file number

801-65582

Source date

March 30, 2026
ANCHORAGE CAPITAL PARTNERS IV PTY LIMITED
Exempt reporting adviser

SEC file number

802-128971

Source date

September 26, 2025
ANCHORAGE CAPITAL PARTNERS PTY LIMITED
Exempt reporting adviser

SEC file number

802-75183

Source date

September 26, 2025
ANCHORED FINANCIAL PLANNING LLC
Investment adviser

SEC file number

801-134476

Source date

July 16, 2026
ANCHR TECHNOLOGIES RIA LLC
Investment adviser

SEC file number

801-135624

Source date

September 3, 2026
ANCHYRA PARTNERS LLC
Investment adviser

SEC file number

801-132692

Source date

March 11, 2026
ANCIENT ART, L.P.
Investment adviser

SEC file number

801-67038

Source date

March 31, 2026
ANCIENT MANAGEMENT LP
Investment adviser

SEC file number

801-127384

Source date

September 11, 2026
ANCOR HOLDINGS, LP
Investment adviser

SEC file number

801-121994

Source date

March 30, 2026
ANCORA ADVISORS LLC
Investment adviser

SEC file number

801-61770

Source date

March 31, 2026
ANCORA ALTERNATIVES LLC
Investment adviser

SEC file number

801-120302

Source date

March 31, 2026
ANCORA HOLDINGS, INC
Exempt reporting adviser

SEC file number

802-135162

Source date

December 16, 2025
ANCORA PRIVATE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-61942

Source date

April 1, 2026
ANCORA RETIREMENT PLAN ADVISORS, LLC
Investment adviser

SEC file number

801-67475

Source date

March 31, 2026
ANCORA WEST ADVISORS, LLC
Investment adviser

SEC file number

801-108879

Source date

March 30, 2026
AND WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-69853

Source date

February 23, 2026
ANDA ASSET MANAGEMENT CO., LTD.
Investment adviser

SEC file number

801-77146

Source date

June 25, 2026
ANDALUSIAN CREDIT PARTNERS, LLC
Investment adviser

SEC file number

801-128049

Source date

March 30, 2026
ANDALUSIAN PRIVATE CAPITAL, LP
Investment adviser

SEC file number

801-121317

Source date

March 30, 2026
ANDAR CAPITAL MANAGEMENT HK LIMITED
Exempt reporting adviser

SEC file number

802-135434

Source date

January 28, 2026
ANDBANC ADVISORY LLC
Investment adviser

SEC file number

801-79716

Source date

May 18, 2026
ANDEAN SOCIAL INFRASTRUCTURE GP LIMITED
Exempt reporting adviser

SEC file number

802-112169

Source date

March 19, 2026
ANDERA PARTNERS
Exempt reporting adviser

SEC file number

802-137523

Source date

September 15, 2026
ANDERSEN TAX LLC
Investment adviser

SEC file number

801-61693

Source date

March 30, 2026
ANDERSON FINANCIAL PARTNERS, INC.
Investment adviser

SEC file number

801-62031

Source date

March 20, 2026
ANDERSON FINANCIAL STRATEGIES, LLC
Investment adviser

SEC file number

801-121691

Source date

March 31, 2026
ANDERSON GRIGGS & COMPANY, INC.
Investment adviser

SEC file number

801-133808

Source date

January 21, 2026
ANDERSON GROWTH PARTNERS, LLC
Investment adviser

SEC file number

801-65663

Source date

March 26, 2026
ANDERSON HOAGLAND & CO
Investment adviser

SEC file number

801-15073

Source date

February 3, 2026
ANDINA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-80633

Source date

July 2, 2026
ANDRA CAPITAL LLC
Investment adviser

SEC file number

801-135574

Source date

July 30, 2026
ANDREW GARRETT, INC.
Investment adviser

SEC file number

801-71581

Source date

April 15, 2026
ANDREW HILL INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-121563

Source date

July 29, 2026
ANDREW W. BYRD & CO., L.L.C.
Investment adviser

SEC file number

801-113724

Source date

March 30, 2026
ANDREWS ADVISORY ASSOCIATES, LLC
Investment adviser

SEC file number

801-66553

Source date

March 19, 2026
ANDREWS, LUCIA WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-66974

Source date

March 12, 2026
ANDROS CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-119986

Source date

March 27, 2026
ANDURAND CAPITAL MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-136051

Source date

March 30, 2026
ANDURAND CAPITAL MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-126981

Source date

September 25, 2026
ANDURAND CAPITAL MANAGEMENT NEW YORK LLC
Exempt reporting adviser

SEC file number

802-136170

Source date

September 25, 2026
ANGEL COLLECTIVE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135965

Source date

March 25, 2026
ANGEL INVESTOR MANAGEMENT GROUP, LLC
Exempt reporting adviser

SEC file number

802-134485

Source date

March 13, 2026
ANGEL OAK CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-70670

Source date

March 31, 2026
ANGELENO GROUP, LLC
Investment adviser

SEC file number

801-122278

Source date

March 28, 2026
ANGELES EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-110638

Source date

March 27, 2026
ANGELES FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-134854

Source date

August 26, 2026
ANGELES INVESTMENT ADVISORS, LLC.
Investment adviser

SEC file number

801-60042

Source date

July 30, 2026
ANGELES WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-72992

Source date

August 12, 2026
ANGELLIST ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-129822

Source date

July 16, 2026
ANGELO, GORDON & CO., L.P.
Investment adviser

SEC file number

801-34300

Source date

August 24, 2026
ANGELSDECK LLC
Exempt reporting adviser

SEC file number

802-123490

Source date

March 19, 2026
ANGELUS INVESTMENT CONSULTING, INC.
Investment adviser

SEC file number

801-129349

Source date

March 17, 2026
ANGULAR MANAGEMENT COMPANY, L.P.
Exempt reporting adviser

SEC file number

802-118706

Source date

March 13, 2026
ANIM MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137084

Source date

July 15, 2026
ANIMO VENTURES LLC
Exempt reporting adviser

SEC file number

802-118914

Source date

March 19, 2026
ANISH MEHTA CAPITAL LLC
Exempt reporting adviser

SEC file number

802-132145

Source date

February 2, 2026
ANKERSTAR WEALTH, LLC
Investment adviser

SEC file number

801-131782

Source date

August 31, 2026
ANKONA MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-120998

Source date

March 27, 2026
ANNALY CREDIT OPPORTUNITIES MANAGEMENT LLC
Investment adviser

SEC file number

801-114397

Source date

March 27, 2026
ANNANDALE CAPITAL, LLC
Investment adviser

SEC file number

801-64802

Source date

March 31, 2026
ANNAPOLIS CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-76347

Source date

March 30, 2026
ANNEX ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-63505

Source date

April 17, 2026
ANNIS GARDNER WHITING CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-70256

Source date

March 13, 2026
ANOMALY CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-118922

Source date

March 31, 2026
ANORAK VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137176

Source date

July 28, 2026
ANOVA S. TECH LLC
Exempt reporting adviser

SEC file number

802-136425

Source date

May 5, 2026
ANSA CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126015

Source date

February 20, 2026
ANSERES CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135296

Source date

March 27, 2026
ANSID CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-127961

Source date

March 12, 2026
ANSON ADVISORS INC.
Exempt reporting adviser

SEC file number

802-78163

Source date

March 3, 2026
ANSON CAPITAL, INC.
Investment adviser

SEC file number

801-113310

Source date

February 26, 2026
ANSON FUNDS MANAGEMENT LP
Investment adviser

SEC file number

801-74180

Source date

March 31, 2026
ANT MONEY ADVISORS, LLC
Investment adviser

SEC file number

801-118951

Source date

September 24, 2026
ANTARA CAPITAL LP
Investment adviser

SEC file number

801-113926

Source date

March 31, 2026
ANTARCTICA INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-113102

Source date

June 10, 2026
ANTARCTICA SAF PARTNERS, LLC
Investment adviser

SEC file number

801-136445

Source date

August 10, 2026
ANTARES CAPITAL ADVISERS LLC
Investment adviser

SEC file number

801-106919

Source date

August 5, 2026
ANTARES CAPITAL CORPORATION
Exempt reporting adviser

SEC file number

802-76311

Source date

March 11, 2026
ANTARES CAPITAL CREDIT ADVISERS LLC
Investment adviser

SEC file number

801-129069

Source date

March 31, 2026
ANTECTS ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-134718

Source date

February 23, 2026
ANTERRA CAPITAL BV
Exempt reporting adviser

SEC file number

802-133972

Source date

July 9, 2026
ANTHELION CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-128696

Source date

July 2, 2026
ANTHEM VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75732

Source date

March 27, 2026
ANTHEMIS CAPITAL MANAGERS (AMERICAS) LLC
Investment adviser

SEC file number

801-127860

Source date

March 30, 2026
ANTHEMIS CAPITAL MANAGERS LIMITED
Investment adviser

SEC file number

801-124910

Source date

March 30, 2026
ANTHONY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-122704

Source date

March 18, 2026
ANTHOS FUND & ASSET MANAGEMENT B.V.
Exempt reporting adviser

SEC file number

802-137524

Source date

September 15, 2026
ANTHOS MANAGEMENT, L.P.
Investment adviser

SEC file number

801-118356

Source date

March 30, 2026