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 60 of 95

NEUBERGER BERMAN EUROPE LIMITED
Investment adviser

SEC file number

801-78140

Source date

May 6, 2026
NEUBERGER BERMAN INVESTMENT ADVISERS LLC
Investment adviser

SEC file number

801-61757

Source date

September 24, 2026
NEUBERGER BERMAN LOAN ADVISERS EUROPE II LP
Investment adviser

SEC file number

801-134272

Source date

March 31, 2026
NEUBERGER BERMAN LOAN ADVISERS II LLC
Investment adviser

SEC file number

801-118438

Source date

March 31, 2026
NEUBERGER BERMAN LOAN ADVISERS IV LLC
Investment adviser

SEC file number

801-127324

Source date

March 31, 2026
NEUBERGER BERMAN LOAN ADVISERS LLC
Investment adviser

SEC file number

801-108750

Source date

March 31, 2026
NEUBERGER BERMAN SINGAPORE PTE. LIMITED
Investment adviser

SEC file number

801-78988

Source date

March 30, 2026
NEUENSCHWANDER ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-124791

Source date

June 24, 2026
NEUMANN ADVISORY HONG KONG LIMITED
Investment adviser

SEC file number

801-118751

Source date

February 23, 2026
NEUMANN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-41001

Source date

August 26, 2026
NEUMEIER POMA INVESTMENT COUNSEL LLC
Investment adviser

SEC file number

801-23649

Source date

May 20, 2026
NEURALVEST LLC
Investment adviser

SEC file number

801-136788

Source date

September 22, 2026
NEVASTAR FINANCE LTD
Investment adviser

SEC file number

801-111870

Source date

May 12, 2026
NEVCAUT VENTURES MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-127628

Source date

March 9, 2026
NEVILLE, RODIE & SHAW INC
Investment adviser

SEC file number

801-4148

Source date

September 2, 2026
NEVO MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134690

Source date

February 2, 2026
NEW 2ND CAPITAL ADVISORS, L.P.
Investment adviser

SEC file number

801-114008

Source date

September 15, 2026
NEW AGE ALPHA ADVISORS, LLC
Investment adviser

SEC file number

801-116789

Source date

February 18, 2026
NEW CANAAN FUNDING MEZZANINE LLC
Exempt reporting adviser

SEC file number

802-77593

Source date

March 18, 2026
NEW CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-63295

Source date

March 30, 2026
NEW CATALYST STRATEGIC PARTNERS, LLC
Investment adviser

SEC file number

801-131577

Source date

June 29, 2026
NEW CENTURY ADVISORS, LLC
Investment adviser

SEC file number

801-61423

Source date

March 25, 2026
NEW CENTURY PARTNERS
Investment adviser

SEC file number

801-34369

Source date

February 23, 2026
NEW CHINA CAPITAL MANAGEMENT CORP.
Investment adviser

SEC file number

801-127746

Source date

May 6, 2026
NEW CLIMATE VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130983

Source date

January 15, 2026
NEW DAY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129184

Source date

February 18, 2026
NEW DIMENSIONS WEALTH MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-128238

Source date

March 31, 2026
NEW ENGLAND ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-22445

Source date

March 31, 2026
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-57122

Source date

August 18, 2026
NEW ENGLAND FINANCIAL PLANNING GROUP, LLC
Investment adviser

SEC file number

801-17130

Source date

September 2, 2026
NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-63830

Source date

March 27, 2026
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.
Investment adviser

SEC file number

801-15330

Source date

March 26, 2026
NEW ENGLAND RESEARCH & MANAGEMENT, INC.
Investment adviser

SEC file number

801-14380

Source date

August 25, 2026
NEW ENGLAND RETIREMENT CONSULTANTS, LLC
Investment adviser

SEC file number

801-73080

Source date

February 27, 2026
NEW ENGLAND SCHOONER, INC.
Investment adviser

SEC file number

801-133872

Source date

March 10, 2026
NEW ERA CAPITAL GP LTD.
Exempt reporting adviser

SEC file number

802-129417

Source date

March 24, 2026
NEW FORESTS INC.
Investment adviser

SEC file number

801-114546

Source date

September 22, 2025
NEW FORM CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131775

Source date

March 31, 2026
NEW FRONTIER ADVISORS, LLC
Investment adviser

SEC file number

801-72506

Source date

March 31, 2026
NEW HARBOR CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-107549

Source date

May 26, 2026
NEW HARBOR FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-72007

Source date

July 27, 2026
NEW HERITAGE CAPITAL, LLC
Investment adviser

SEC file number

801-74243

Source date

March 27, 2026
NEW HOLLAND CAPITAL, LLC
Investment adviser

SEC file number

801-74244

Source date

September 4, 2026
NEW HOLLAND TRADING LLC
Investment adviser

SEC file number

801-134365

Source date

June 16, 2026
NEW HORIZON FINANCIAL STRATEGIES, LLC
Investment adviser

SEC file number

801-118348

Source date

March 3, 2026
NEW HORIZON MANAGERS LIMITED
Exempt reporting adviser

SEC file number

802-88215

Source date

March 20, 2026
NEW INDUSTRIAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-136398

Source date

July 15, 2026
NEW INSIGHT WEALTH ADVISORS
Investment adviser

SEC file number

801-123002

Source date

September 18, 2026
NEW LEAF VENTURE PARTNERS LLC
Investment adviser

SEC file number

801-80793

Source date

March 30, 2026
NEW LEGACY GROUP, LLC
Investment adviser

SEC file number

801-74446

Source date

June 30, 2026
NEW MILLENNIUM GROUP, LLC
Investment adviser

SEC file number

801-120516

Source date

April 22, 2026
NEW MOUNTAIN CAPITAL, L.L.C.
Investment adviser

SEC file number

801-74051

Source date

March 30, 2026
NEW MOUNTAIN CREDIT CLO ADVISERS, L.L.C.
Investment adviser

SEC file number

801-118070

Source date

June 1, 2026
NEW MOUNTAIN FINANCE ADVISERS, L.L.C.
Investment adviser

SEC file number

801-71948

Source date

June 1, 2026
NEW PERSPECTIVES, INC.
Investment adviser

SEC file number

801-112730

Source date

August 4, 2026
NEW REPUBLIC CAPITAL, LLC
Investment adviser

SEC file number

801-119745

Source date

March 30, 2026
NEW RHEIN HEALTHCARE INVESTORS LLC
Investment adviser

SEC file number

801-124768

Source date

March 30, 2026
NEW RIVER FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-126115

Source date

February 17, 2026
NEW SILK ROUTE ADVISORS, L.P.
Investment adviser

SEC file number

801-74149

Source date

August 10, 2026
NEW STACK, LLC
Exempt reporting adviser

SEC file number

802-122899

Source date

March 26, 2026
NEW STATE CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-96312

Source date

March 31, 2026
NEW STREET RESEARCH LLP
Investment adviser

SEC file number

801-96176

Source date

June 25, 2026
NEW SYSTEM VENTURES MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-132220

Source date

March 20, 2026
NEW VENTURE PARTNERS LLC
Exempt reporting adviser

SEC file number

802-76286

Source date

May 2, 2025
NEW VERNON ADVISERS LP
Investment adviser

SEC file number

801-73445

Source date

May 5, 2026
NEW VERNON INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-73602

Source date

April 27, 2026
NEW VERNON WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-77619

Source date

March 31, 2026
NEW VINTAGE PARTNERS LLC
Investment adviser

SEC file number

801-136928

Source date

July 1, 2026
NEW VISTA CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137288

Source date

August 13, 2026
NEW VOICES ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-123419

Source date

March 31, 2026
NEW WATER CAPITAL, L.P.
Investment adviser

SEC file number

801-96331

Source date

March 27, 2026
NEW WAVE FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-134729

Source date

February 4, 2026
NEW WAVE LOANS RESIDENTIAL, LLC
Investment adviser

SEC file number

801-133717

Source date

March 30, 2026
NEW WAVE WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-126788

Source date

February 6, 2026
NEW WEST ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-134329

Source date

September 17, 2026
NEW WORLD ADVISORS LLC
Investment adviser

SEC file number

801-113314

Source date

April 9, 2026
NEW YORK CITY INVESTMENT FUND MANAGER, INC.
Exempt reporting adviser

SEC file number

802-75144

Source date

March 24, 2026
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-57396

Source date

March 30, 2026
NEWARK VENTURE ACCELERATOR, L.L.C.
Exempt reporting adviser

SEC file number

802-107515

Source date

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

SEC file number

801-121039

Source date

March 25, 2026
NEWBRIDGE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-123445

Source date

February 4, 2026
NEWBROOK CAPITAL ADVISORS LP
Investment adviser

SEC file number

801-65330

Source date

March 30, 2026
NEWBURY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-110353

Source date

March 12, 2026
NEWCOAST GROUP MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-130047

Source date

March 19, 2026
NEWCORP FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-132295

Source date

September 14, 2026
NEWDAY FUNDS, INC.
Investment adviser

SEC file number

801-112212

Source date

April 1, 2026
NEWEDGE ADVISORS, LLC
Investment adviser

SEC file number

801-79876

Source date

September 14, 2026
NEWEDGE WEALTH, LLC
Investment adviser

SEC file number

801-118291

Source date

April 23, 2026
NEWFOUND RESEARCH LLC
Investment adviser

SEC file number

801-73042

Source date

July 14, 2026
NEWFOUNDLAND CAPITAL MANAGEMENT US, LLC
Investment adviser

SEC file number

801-79548

Source date

March 31, 2026
NEWFRONT RETIREMENT SERVICES, INC.
Investment adviser

SEC file number

801-80234

Source date

September 1, 2026
NEWFUND INC.
Exempt reporting adviser

SEC file number

802-110180

Source date

March 30, 2026
NEWFUND MANAGEMENT S.A.
Exempt reporting adviser

SEC file number

802-110181

Source date

March 30, 2026
NEWGEN ASSET MANAGEMENT LIMITED
Investment adviser

SEC file number

801-115287

Source date

January 29, 2026
NEWGROUND SOCIAL INVESTMENT, SPC
Investment adviser

SEC file number

801-123559

Source date

March 27, 2026
NEWLIGHT PARTNERS LP
Investment adviser

SEC file number

801-113820

Source date

May 19, 2026
NEWMAN DIGNAN & SHEERAR, INC
Investment adviser

SEC file number

801-41412

Source date

May 6, 2026
NEWMAN LADD CAPITAL ADVISORS, LLC.
Investment adviser

SEC file number

801-79297

Source date

March 2, 2026
NEWMAN, NICHOLAS DRAKE
Exempt reporting adviser

SEC file number

802-75621

Source date

March 18, 2026
NEWMARKET INVESTMENT MANAGEMENT, LP
Investment adviser

SEC file number

801-118684

Source date

May 20, 2026
NEWMILE CAPITAL LLC
Investment adviser

SEC file number

801-131794

Source date

June 12, 2026
NEWOAK ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-80361

Source date

March 31, 2026
NEWPATH MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-114621

Source date

March 25, 2026
NEWPOINT REAL ESTATE INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-128201

Source date

March 31, 2026
NEWPORT ASIA LLC
Investment adviser

SEC file number

801-60888

Source date

June 9, 2026
NEWPORT CAPITAL B.V.
Exempt reporting adviser

SEC file number

802-131373

Source date

March 24, 2026
NEWPORT CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-68323

Source date

March 20, 2026
NEWPORT GLOBAL ADVISORS L.P.
Investment adviser

SEC file number

801-66417

Source date

July 9, 2026
NEWPORT GROUP CONSULTING, LLC
Investment adviser

SEC file number

801-66908

Source date

August 17, 2026
NEWPORT INVESTMENT ADVISORS INC
Investment adviser

SEC file number

801-130254

Source date

April 1, 2026
NEWPORT INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-78673

Source date

March 5, 2026
NEWPORT WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-130464

Source date

April 6, 2026
NEWRETIREMENT ADVISORS, LLC
Investment adviser

SEC file number

801-132987

Source date

August 13, 2026
NEWROAD CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-106671

Source date

August 28, 2026
NEWSONG CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-135348

Source date

March 13, 2026
NEWSOUTH CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-24716

Source date

August 10, 2026
NEWSPACE CAPITAL GP S.A.
Exempt reporting adviser

SEC file number

802-127319

Source date

March 13, 2026
NEWSPRING CAPITAL, LLC
Investment adviser

SEC file number

801-73849

Source date

March 30, 2026
NEWSQUARE CAPITAL, LLC
Investment adviser

SEC file number

801-70908

Source date

February 6, 2026
NEWSTONE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-73667

Source date

September 1, 2026
NEWTON INVESTMENT MANAGEMENT LTD
Investment adviser

SEC file number

801-42114

Source date

July 22, 2026
NEWTON INVESTMENT MANAGEMENT NORTH AMERICA LLC
Investment adviser

SEC file number

801-120501

Source date

May 29, 2026
NEWTON ONE INVESTMENTS LLC
Investment adviser

SEC file number

801-69525

Source date

March 23, 2026
NEWTOPIA LATAM VC LLC
Exempt reporting adviser

SEC file number

802-131387

Source date

March 27, 2026
NEWTOWN PARTNERS INC.
Exempt reporting adviser

SEC file number

802-124985

Source date

March 10, 2026
NEWTYN MANAGEMENT, LLC
Investment adviser

SEC file number

801-73991

Source date

March 27, 2026
NEWVALE CAPITAL LLC
Exempt reporting adviser

SEC file number

802-130072

Source date

March 31, 2026
NEWVEST MANAGEMENT, LP
Investment adviser

SEC file number

801-124812

Source date

March 31, 2026
NEWVIEW CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-114030

Source date

April 29, 2026
NEXA EQUITY LLC
Investment adviser

SEC file number

801-126304

Source date

March 31, 2026
NEXADVISORS, LLC
Investment adviser

SEC file number

801-122878

Source date

May 5, 2026
NEXANNUITY ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-120313

Source date

May 5, 2026
NEXILEON MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137278

Source date

September 9, 2026
NEXPHASE CAPITAL, LP
Investment adviser

SEC file number

801-106904

Source date

March 27, 2026
NEXPOINT ADVISORS, L.P.
Investment adviser

SEC file number

801-75490

Source date

March 31, 2026
NEXPOINT ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-69968

Source date

March 31, 2026
NEXPOINT INSURANCE SOLUTIONS, L.P.
Investment adviser

SEC file number

801-117200

Source date

June 30, 2026
NEXPOINT REAL ESTATE ADVISORS VII, L.P.
Investment adviser

SEC file number

801-117669

Source date

March 31, 2026
NEXPOINT REAL ESTATE ADVISORS X, L.P.
Investment adviser

SEC file number

801-122706

Source date

March 31, 2026
NEXQUANT EXCHANGE LTD
Exempt reporting adviser

SEC file number

802-134999

Source date

May 21, 2026
NEXT BILLION CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-129869

Source date

April 2, 2026
NEXT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-56281

Source date

January 31, 2026
NEXT CENTURY GROWTH INVESTORS LLC
Investment adviser

SEC file number

801-56049

Source date

March 25, 2026
NEXT COAST LEGACY LLC
Exempt reporting adviser

SEC file number

802-134100

Source date

April 1, 2026
NEXT COAST VENTURES, LLC
Exempt reporting adviser

SEC file number

802-136396

Source date

April 30, 2026
NEXT CYCLE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135150

Source date

May 5, 2026
NEXT FRONTIER CAPITAL MC, LLC
Exempt reporting adviser

SEC file number

802-121098

Source date

March 26, 2026
NEXT HORIZON CAPITAL, LP
Investment adviser

SEC file number

801-136861

Source date

July 29, 2026
NEXT LEGACY MANAGEMENT, LLC
Investment adviser

SEC file number

801-73561

Source date

March 31, 2026
NEXT LEVEL PRIVATE LLC
Investment adviser

SEC file number

801-122122

Source date

July 23, 2026
NEXT LEVEL VENTURES, LLC
Exempt reporting adviser

SEC file number

802-117412

Source date

March 31, 2026
NEXT LEVEL WEALTH PLANNING, LLC
Investment adviser

SEC file number

801-128745

Source date

March 5, 2026
NEXT MANAGEMENT ADVISORS, LLC
Investment adviser

SEC file number

801-129135

Source date

April 21, 2026
NEXT UP WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136270

Source date

August 3, 2026
NEXT VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119082

Source date

March 26, 2026
NEXTBIO CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-136876

Source date

July 7, 2026
NEXTECH INVEST LTD.
Exempt reporting adviser

SEC file number

802-126620

Source date

March 27, 2026
NEXTECH VENTURES (US) LLC
Investment adviser

SEC file number

801-122926

Source date

March 30, 2026
NEXTGEN EMP, INC.
Investment adviser

SEC file number

801-131531

Source date

March 27, 2026
NEXTGEN FAMILY OFFICE LLC
Investment adviser

SEC file number

801-137316

Source date

August 18, 2026
NEXTGEN GROWTH PARTNERS, LLC
Investment adviser

SEC file number

801-124797

Source date

March 30, 2026
NEXTMOVE CAPITAL INC.
Investment adviser

SEC file number

801-135981

Source date

April 6, 2026
NEXTRIONYX LTD
Exempt reporting adviser

SEC file number

802-136286

Source date

April 20, 2026
NEXTVIEW MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-76270

Source date

March 26, 2026
NEXUS ADVISORS
Exempt reporting adviser

SEC file number

802-134739

Source date

March 26, 2026
NEXUS BAY CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-130801

Source date

May 21, 2026
NEXUS CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-79220

Source date

April 8, 2026
NEXUS COMMODITIES CAPITAL MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-134710

Source date

April 30, 2026
NEXUS ENERGY PARTNERS LLC
Exempt reporting adviser

SEC file number

802-129673

Source date

July 29, 2026
NEXUS GENESIS CAPITAL LTD.
Exempt reporting adviser

SEC file number

802-135340

Source date

January 15, 2026
NEXUS ONE FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-134359

Source date

September 3, 2026
NEXUS POINT ADVISORS (HK) LIMITED
Exempt reporting adviser

SEC file number

802-125966

Source date

March 31, 2026
NEXUS RISK MANAGEMENT, LP
Investment adviser

SEC file number

801-81103

Source date

March 31, 2026
NEXUS STRATEGIC ALPHA LLC
Exempt reporting adviser

SEC file number

802-136813

Source date

June 23, 2026
NEXUS VENTURES ADVISORS PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-127075

Source date

March 25, 2026
NEXUS VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-121258

Source date

March 25, 2026
NEXUS338, LLC
Investment adviser

SEC file number

801-122274

Source date

February 11, 2026
NEXWAVE CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-100456

Source date

March 31, 2026
NEXWEALTH LLC
Investment adviser

SEC file number

801-120110

Source date

June 10, 2026
NEXXUS CAPITAL ADMINISTRADOR VI, S.C.
Exempt reporting adviser

SEC file number

802-110300

Source date

March 31, 2026
NEXXUS HOLDINGS ADVISORS LLC
Investment adviser

SEC file number

801-80020

Source date

March 27, 2026
NFC INVESTMENTS, LLC
Investment adviser

SEC file number

801-63560

Source date

February 6, 2026
NFJ INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-119686

Source date

March 20, 2026
NFSG CORPORATION
Investment adviser

SEC file number

801-68448

Source date

March 2, 2026
NFX CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-115224

Source date

March 30, 2026
NG MANAGEMENT S.A.
Exempt reporting adviser

SEC file number

802-76279

Source date

March 13, 2026
NGC FINANCIAL, LLC
Investment adviser

SEC file number

801-129067

Source date

August 26, 2026
NGN CAPITAL LLC
Exempt reporting adviser

SEC file number

802-75933

Source date

March 19, 2026
NGP CAPITAL US, LLC
Exempt reporting adviser

SEC file number

802-75300

Source date

March 30, 2026
NGP ENERGY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73799

Source date

March 31, 2026
NGP FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-131851

Source date

September 10, 2026
NGP MANAGEMENT CO. OY
Exempt reporting adviser

SEC file number

802-130147

Source date

March 30, 2026
NGV MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-112373

Source date

March 15, 2026
NHCI II UG (HAFTUNGSBESCHRAENKT) & CO. KG
Exempt reporting adviser

SEC file number

802-137308

Source date

August 17, 2026
NHCI IV UG (HAFTUNGSBESCHRAENKT) & CO. KG
Exempt reporting adviser

SEC file number

802-136520

Source date

May 18, 2026
NHS GP, LLC
Exempt reporting adviser

SEC file number

802-119933

Source date

September 9, 2026
NHWM LLC
Investment adviser

SEC file number

801-128979

Source date

August 10, 2026
NI ACQUISITIONS COMPANY LLC
Investment adviser

SEC file number

801-135817

Source date

August 7, 2026
NIA IMPACT ADVISORS, LLC
Investment adviser

SEC file number

801-117120

Source date

March 31, 2026
NIAM AB
Exempt reporting adviser

SEC file number

802-107609

Source date

March 6, 2026
NIATROSS INVESTMENTS LIMITED
Exempt reporting adviser

SEC file number

802-111852

Source date

March 13, 2026
NICH CAPITAL PARTNERS, INC.
Investment adviser

SEC file number

801-121774

Source date

June 4, 2026
NICHOLAS CO INC
Investment adviser

SEC file number

801-4658

Source date

January 23, 2026
NICHOLAS HOFFMAN & COMPANY, LLC
Investment adviser

SEC file number

801-68306

Source date

July 10, 2026
NICHOLAS INVESTMENT PARTNERS, L.P.
Investment adviser

SEC file number

801-66532

Source date

July 10, 2026
NICHOLAS WEALTH, LLC
Investment adviser

SEC file number

801-122063

Source date

April 24, 2026
NICHOLE WISCHOFF, LLC
Exempt reporting adviser

SEC file number

802-131000

Source date

April 1, 2026
NICHOLS & PRATT ADVISERS LLP
Investment adviser

SEC file number

801-47618

Source date

August 26, 2026
NICHOLSON MEYER CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-113175

Source date

August 18, 2026
NICHOLSON WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-128554

Source date

June 2, 2026
NICKEL DIGITAL ASSET MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-122739

Source date

June 29, 2026
NICOLA WEALTH MANAGEMENT LTD.
Investment adviser

SEC file number

801-119288

Source date

September 9, 2026
NICOLET ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-108012

Source date

March 31, 2026
NICOLLET INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-57282

Source date

May 4, 2026
NIERENBERG INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-74080

Source date

March 13, 2026
NIGHT OWL CAPITAL CANADA, LLC
Investment adviser

SEC file number

801-134681

Source date

March 23, 2026
NIGHT OWL CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-45362

Source date

March 31, 2026
NIGHT SQUARED LP
Investment adviser

SEC file number

801-131733

Source date

May 29, 2026
NIGHTDRAGON MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-128000

Source date

March 27, 2026
NIGHTVIEW CAPITAL, LLC
Investment adviser

SEC file number

801-108127

Source date

March 30, 2026
NIHON GLOBAL GROWTH PARTNERS MANAGEMENT, INC.
Investment adviser

SEC file number

801-133897

Source date

May 5, 2026
NIKULSKI FINANCIAL, INC.
Investment adviser

SEC file number

801-109933

Source date

March 17, 2026
NILE CAPITAL GROUP HOLDINGS LLC
Exempt reporting adviser

SEC file number

802-119918

Source date

June 10, 2026
NILES INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-129726

Source date

March 26, 2026
NILI CAPITAL MANAGEMENT P.E., LTD.
Exempt reporting adviser

SEC file number

802-137024

Source date

July 7, 2026
NILSINE PARTNERS, LLC
Investment adviser

SEC file number

801-122071

Source date

March 24, 2026
NIM WEALTH SOLUTIONS INC.
Investment adviser

SEC file number

801-135633

Source date

September 24, 2026
NINE LEFT CAPITAL LP
Investment adviser

SEC file number

801-131116

Source date

March 24, 2026
NINE MASTS CAPITAL (DIFC) LIMITED
Exempt reporting adviser

SEC file number

802-135819

Source date

March 11, 2026
NINE MASTS CAPITAL ADVISERS LLC
Investment adviser

SEC file number

801-131028

Source date

April 30, 2026
NINE MASTS CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-75667

Source date

March 19, 2026
NINE TEN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-79736

Source date

September 15, 2026
NINE THIRTY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-62963

Source date

March 30, 2026
NINE30 ADVISORS LLC
Investment adviser

SEC file number

801-128888

Source date

August 3, 2026
NINEPOINT PARTNERS LP
Investment adviser

SEC file number

801-111715

Source date

March 30, 2026
NINEPOINTTWO CAPITAL LLC
Investment adviser

SEC file number

801-120491

Source date

February 26, 2026
NINETY ONE GUERNSEY LIMITED
Exempt reporting adviser

SEC file number

802-121838

Source date

June 30, 2026
NINETY ONE LUXEMBOURG S.A.
Exempt reporting adviser

SEC file number

802-108477

Source date

June 24, 2026
NINETY ONE NORTH AMERICA, INC.
Investment adviser

SEC file number

801-80153

Source date

June 26, 2026
NINETY ONE UK LIMITED
Investment adviser

SEC file number

801-73635

Source date

June 26, 2026
NINTH AVENUE CAPITAL, LP
Investment adviser

SEC file number

801-134964

Source date

March 31, 2026
NINTH ETERNITY ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-124851

Source date

July 2, 2026
NIOBRARA CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-131035

Source date

March 30, 2026
NIPPON INVESTMENT COMPANY
Exempt reporting adviser

SEC file number

802-114260

Source date

March 23, 2026
NIPPON LIFE GLOBAL INVESTORS AMERICAS, INC.
Investment adviser

SEC file number

801-73279

Source date

March 27, 2026
NIPPON SANGYO SUISHIN KIKO LTD
Exempt reporting adviser

SEC file number

802-135481

Source date

March 30, 2026
NIPPON VALUE INVESTORS KK
Investment adviser

SEC file number

801-66876

Source date

July 23, 2026
NIPUN CAPITAL, L.P.
Investment adviser

SEC file number

801-78276

Source date

March 30, 2026
NIREMIA COLLECTIVE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131381

Source date

August 17, 2026
NISA INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-45153

Source date

March 26, 2026