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 61 of 95

NISH CAPITAL INVESTMENT ADVISORS LLP
Exempt reporting adviser

SEC file number

802-122293

Source date

June 28, 2026
NISHKAMA CAPITAL LLC
Investment adviser

SEC file number

801-113336

Source date

March 25, 2026
NITOR CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-136805

Source date

June 29, 2026
NITROGEN FUND MANAGERS (PTY) LTD
Exempt reporting adviser

SEC file number

802-132000

Source date

February 16, 2026
NIVALE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135991

Source date

March 26, 2026
NIXON CAPITAL LLC
Investment adviser

SEC file number

801-121856

Source date

August 13, 2026
NIYA PARTNERS INC.
Exempt reporting adviser

SEC file number

802-130466

Source date

March 27, 2026
NK CAPITAL LLC
Investment adviser

SEC file number

801-128818

Source date

March 31, 2026
NLC CAPITAL MANCO LIMITED
Exempt reporting adviser

SEC file number

802-133975

Source date

August 11, 2026
NLG CAPITAL LLC
Investment adviser

SEC file number

801-57721

Source date

March 30, 2026
NMGF MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75073

Source date

March 27, 2026
NMP MANAGEMENT CORPORATION
Exempt reporting adviser

SEC file number

802-107246

Source date

March 30, 2026
NMS CAPITAL SERVICES, LLC
Investment adviser

SEC file number

801-73560

Source date

March 27, 2026
NO FATE BWWM, LLC
Investment adviser

SEC file number

801-122753

Source date

March 31, 2026
NO STREET GP LP
Investment adviser

SEC file number

801-114360

Source date

March 31, 2026
NOBLE FAMILY WEALTH, LLC
Investment adviser

SEC file number

801-121626

Source date

May 27, 2026
NOBLE WEALTH MANAGEMENT P.B.C.
Investment adviser

SEC file number

801-126632

Source date

February 25, 2026
NOBLE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-108555

Source date

March 30, 2026
NOBLE WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-135839

Source date

August 12, 2026
NOBLEBRIDGE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-126246

Source date

March 30, 2026
NOBSCOT INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-131154

Source date

January 23, 2026
NOCTUA INTERNATIONAL WMG, LLC
Investment adviser

SEC file number

801-70538

Source date

March 25, 2026
NODE BY MESH LLC
Exempt reporting adviser

SEC file number

802-136460

Source date

May 11, 2026
NODE CAPITAL MANAGEMENT GP LTD
Exempt reporting adviser

SEC file number

802-128917

Source date

March 24, 2026
NOESIS CAPITAL MANAGEMENT CORP
Investment adviser

SEC file number

801-49934

Source date

September 21, 2026
NOKOMIS CAPITAL, L.L.C.
Investment adviser

SEC file number

801-74902

Source date

March 23, 2026
NOKOTA MANAGEMENT, LP
Investment adviser

SEC file number

801-73120

Source date

July 21, 2025
NOLAN MANAGEMENT LLC
Investment adviser

SEC file number

801-126021

Source date

May 11, 2026
NOLET WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129319

Source date

January 27, 2026
NOMAD VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-135588

Source date

February 16, 2026
NOMI CAPITAL LLC
Exempt reporting adviser

SEC file number

802-134891

Source date

March 24, 2026
NOMURA ASSET MANAGEMENT CO., LTD.
Investment adviser

SEC file number

801-24357

Source date

June 29, 2026
NOMURA ASSET MANAGEMENT U.S.A. INC
Investment adviser

SEC file number

801-12129

Source date

June 24, 2026
NOMURA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127179

Source date

June 29, 2026
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-38965

Source date

June 24, 2026
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
Investment adviser

SEC file number

801-32108

Source date

September 16, 2026
NOMURA SECURITIES INTERNATIONAL, INC.
Investment adviser

SEC file number

801-72991

Source date

August 6, 2026
NOOSPHERE VENTURES MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-127742

Source date

March 15, 2026
NORCAP INVESTMENT MANAGEMENT, L.P.
Investment adviser

SEC file number

801-64155

Source date

March 31, 2026
NORD HOLDING UNTERNEHMENSBETEILIGUNGSGESELLSCHAFT MBH
Exempt reporting adviser

SEC file number

802-136519

Source date

May 18, 2026
NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.
Investment adviser

SEC file number

801-60715

Source date

May 6, 2026
NORDFLINT CAPITAL PARTNERS FONDSMAEGLERSELSKAB A/S
Investment adviser

SEC file number

801-123020

Source date

April 15, 2026
NORDIC CAPITAL MANAGEMENT SARL
Exempt reporting adviser

SEC file number

802-136066

Source date

March 30, 2026
NORDIC INVESTMENT OPPORTUNITIES A/S
Exempt reporting adviser

SEC file number

802-126597

Source date

March 30, 2026
NORDIKA FORVALTNING AB
Exempt reporting adviser

SEC file number

802-128384

Source date

September 25, 2026
NORDSTAR PARTNERS MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-123506

Source date

March 30, 2026
NORDSTERN KAPITALMANAGEMENT GMBH LTD
Exempt reporting adviser

SEC file number

802-134161

Source date

November 20, 2025
NORDVEST GMBH
Exempt reporting adviser

SEC file number

802-137310

Source date

August 17, 2026
NORDWAND ADVISORS, LLC
Investment adviser

SEC file number

801-126490

Source date

March 21, 2026
NORDWAND INVESTMENTS, LLC
Investment adviser

SEC file number

801-127287

Source date

March 20, 2026
NORLAND CAPITAL LP
Investment adviser

SEC file number

801-128673

Source date

April 15, 2026
NORLANTIC CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131539

Source date

March 25, 2026
NORRIS FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-112958

Source date

March 19, 2026
NORRIS PERNE & FRENCH LLP
Investment adviser

SEC file number

801-3475

Source date

March 27, 2026
NORTH AMERICAN WEALTH ADVISORS INC.
Investment adviser

SEC file number

801-113619

Source date

March 9, 2026
NORTH BAY WEALTH MANAGEMENT
Investment adviser

SEC file number

801-132750

Source date

March 2, 2026
NORTH BERKELEY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-64572

Source date

March 19, 2026
NORTH BRANCH CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-119115

Source date

April 29, 2026
NORTH BRIDGE VENTURE MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-76237

Source date

March 26, 2026
NORTH CAPITAL, INC.
Investment adviser

SEC file number

801-110598

Source date

May 5, 2026
NORTH CASTLE PARTNERS, LLC
Investment adviser

SEC file number

801-73792

Source date

April 16, 2026
NORTH COMPASS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-136532

Source date

September 16, 2026
NORTH FORTY TWO & CO.
Investment adviser

SEC file number

801-122226

Source date

March 20, 2026
NORTH HILL VENTURES II GP, LLC
Exempt reporting adviser

SEC file number

802-76163

Source date

February 5, 2026
NORTH HUDSON RESOURCE PARTNERS LP
Investment adviser

SEC file number

801-118888

Source date

March 27, 2026
NORTH ISLAND VENTURES, LLC
Investment adviser

SEC file number

801-118941

Source date

March 20, 2026
NORTH OF SOUTH CAPITAL LLP
Investment adviser

SEC file number

801-116992

Source date

March 30, 2026
NORTH PEAK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113016

Source date

March 12, 2026
NORTH PIER FIDUCIARY MANAGEMENT, LLC
Investment adviser

SEC file number

801-69545

Source date

April 29, 2026
NORTH POINT PORTFOLIO MANAGERS CORPORATION
Investment adviser

SEC file number

801-56362

Source date

March 10, 2026
NORTH REEF CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-126191

Source date

March 30, 2026
NORTH RUN CAPITAL, LP
Investment adviser

SEC file number

801-136866

Source date

July 7, 2026
NORTH SHORE INVESTMENT CONSULTING LLC
Investment adviser

SEC file number

801-118847

Source date

February 27, 2026
NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-92175

Source date

March 30, 2026
NORTH SKY CAPITAL, LLC
Investment adviser

SEC file number

801-63853

Source date

March 25, 2026
NORTH SOUTH VC, LLC
Exempt reporting adviser

SEC file number

802-134138

Source date

April 1, 2026
NORTH SQUARE INVESTMENTS, LLC
Investment adviser

SEC file number

801-115238

Source date

May 21, 2026
NORTH STAR ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-123132

Source date

March 19, 2026
NORTH STAR ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-52034

Source date

August 28, 2026
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-62013

Source date

April 14, 2026
NORTH TIDE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-136770

Source date

June 17, 2026
NORTH WALL CAPITAL LLP
Investment adviser

SEC file number

801-121238

Source date

March 30, 2026
NORTH WALL CAPITAL MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-117426

Source date

March 31, 2026
NORTH WESTERLY HOLDINGS B.V.
Exempt reporting adviser

SEC file number

802-128726

Source date

March 27, 2026
NORTH WOODS ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-115081

Source date

March 14, 2026
NORTHAMPTON CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-130510

Source date

May 22, 2026
NORTHAVENUE LLC
Investment adviser

SEC file number

801-125757

Source date

July 9, 2026
NORTHBRIDGE FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-119466

Source date

July 24, 2026
NORTHBROOK FINANCIAL PLANNING LLC
Investment adviser

SEC file number

801-136522

Source date

August 17, 2026
NORTHCAPE CAPITAL PTY LTD
Investment adviser

SEC file number

801-131942

Source date

August 24, 2026
NORTHCAPE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-120425

Source date

August 17, 2026
NORTHCOAST ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-107054

Source date

July 30, 2026
NORTHCREST ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-121227

Source date

July 2, 2026
NORTHCROSS CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-73583

Source date

June 9, 2026
NORTHEAST ADVISERS INC
Investment adviser

SEC file number

801-57720

Source date

March 19, 2026
NORTHEAST FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-78187

Source date

July 28, 2026
NORTHEAST INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-22437

Source date

February 19, 2026
NORTHEAST PLANNING ASSOCIATES, INC.
Investment adviser

SEC file number

801-110475

Source date

May 8, 2026
NORTHEDGE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-80668

Source date

July 20, 2026
NORTHERN ALPHA SECURITIES LIMITED PARTNERSHIP
Exempt reporting adviser

SEC file number

802-137341

Source date

August 20, 2026
NORTHERN BORDER ADVISORS LLC
Exempt reporting adviser

SEC file number

802-131542

Source date

February 20, 2026
NORTHERN BOREALIS LLC
Exempt reporting adviser

SEC file number

802-135575

Source date

February 13, 2026
NORTHERN CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-44942

Source date

March 12, 2026
NORTHERN CAPITAL RETIREMENT SERVICES, INC.
Investment adviser

SEC file number

801-77836

Source date

March 10, 2026
NORTHERN EDGE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-134391

Source date

March 25, 2026
NORTHERN FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-119217

Source date

September 21, 2026
NORTHERN LAKES CAPITAL, L.P.
Investment adviser

SEC file number

801-122103

Source date

September 16, 2026
NORTHERN LIGHT VENTURE CAPITAL DEVELOPMENT LIMITED
Exempt reporting adviser

SEC file number

802-75080

Source date

March 21, 2026
NORTHERN LIGHTS ADVISORS, INC
Investment adviser

SEC file number

801-133961

Source date

August 5, 2026
NORTHERN PACIFIC GROUP, L.P.
Investment adviser

SEC file number

801-117045

Source date

May 27, 2026
NORTHERN PACIFIC GROWTH INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-117047

Source date

May 27, 2026
NORTHERN RIGHT CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-73469

Source date

March 31, 2026
NORTHERN SHORE CAPITAL LLC
Exempt reporting adviser

SEC file number

802-135197

Source date

May 1, 2026
NORTHERN TRUST GLOBAL INVESTMENTS LTD
Investment adviser

SEC file number

801-60152

Source date

March 27, 2026
NORTHERN TRUST INVESTMENTS, INCORPORATED
Investment adviser

SEC file number

801-33358

Source date

June 15, 2026
NORTHERN TRUST SECURITIES, INC.
Investment adviser

SEC file number

801-80781

Source date

July 17, 2026
NORTHFORT FINANCIAL, LLC
Investment adviser

SEC file number

801-135600

Source date

May 13, 2026
NORTHFRONT FINANCIAL USA INC
Investment adviser

SEC file number

801-116834

Source date

April 28, 2026
NORTHGATE CAPITAL, L.P.
Investment adviser

SEC file number

801-66571

Source date

July 10, 2026
NORTHILL AIMS, LLC
Investment adviser

SEC file number

801-134901

Source date

May 4, 2026
NORTHLAND CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-118425

Source date

July 16, 2026
NORTHLAND SECURITIES, INC.
Investment adviser

SEC file number

801-96329

Source date

September 22, 2026
NORTHLANDING FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-77720

Source date

March 18, 2026
NORTHLANE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-108699

Source date

May 8, 2026
NORTHLEAF CAPITAL ADVISORS LTD.
Investment adviser

SEC file number

801-68391

Source date

July 31, 2026
NORTHLEAF CAPITAL PARTNERS (CANADA) LTD.
Exempt reporting adviser

SEC file number

802-128267

Source date

July 31, 2026
NORTHLIGHT CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-126130

Source date

April 29, 2026
NORTHLIGHT GROUP LLP
Exempt reporting adviser

SEC file number

802-122999

Source date

March 19, 2026
NORTHLINE EQUITY PARTNERS LLC
Exempt reporting adviser

SEC file number

802-134944

Source date

March 30, 2026
NORTHMARQ FUND MANAGEMENT, LLC
Investment adviser

SEC file number

801-70494

Source date

March 30, 2026
NORTHMONT CAPITAL MANAGEMENT INC.
Exempt reporting adviser

SEC file number

802-75795

Source date

July 23, 2026
NORTHPOINT INVESTMENT MANAGEMENT (IFSC) LLP
Exempt reporting adviser

SEC file number

802-135195

Source date

June 2, 2026
NORTHPOND VENTURES, LLC
Exempt reporting adviser

SEC file number

802-113525

Source date

March 30, 2026
NORTHRIM ADVISER, LLC
Investment adviser

SEC file number

801-127586

Source date

March 4, 2026
NORTHROCK PARTNERS, LLC
Investment adviser

SEC file number

801-78194

Source date

September 18, 2026
NORTHSANDS CAPITAL, L.P.
Investment adviser

SEC file number

801-134040

Source date

May 27, 2026
NORTHSIDE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-56071

Source date

March 30, 2026
NORTHSTAR ADVISORS PTE LTD
Exempt reporting adviser

SEC file number

802-77533

Source date

March 30, 2026
NORTHSTAR ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-118179

Source date

March 6, 2026
NORTHSTAR ASSET MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-129534

Source date

March 27, 2026
NORTHSTAR ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-121388

Source date

March 31, 2026
NORTHSTAR ASSET MANAGEMENT, INC
Investment adviser

SEC file number

801-37897

Source date

March 11, 2026
NORTHSTAR CAPITAL FUNDS, LLC
Investment adviser

SEC file number

801-65437

Source date

March 31, 2026
NORTHSTAR COMPANY, LLC
Investment adviser

SEC file number

801-73552

Source date

March 30, 2026
NORTHSTAR FIDUCIARY PARTNERS, LLC
Investment adviser

SEC file number

801-129423

Source date

April 1, 2026
NORTHSTAR FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-71608

Source date

March 16, 2026
NORTHSTAR FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-120426

Source date

January 21, 2026
NORTHSTAR FINANCIAL COMPANIES, INC.
Investment adviser

SEC file number

801-115004

Source date

March 24, 2026
NORTHSTAR FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-113219

Source date

February 3, 2026
NORTHSTAR INVESTMENT ADVISORY LLC
Investment adviser

SEC file number

801-122824

Source date

April 24, 2026
NORTHWEST ADMINISTRATORS INC
Investment adviser

SEC file number

801-10787

Source date

March 19, 2026
NORTHWEST CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-56420

Source date

May 5, 2026
NORTHWEST FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-77994

Source date

March 30, 2026
NORTHWEST FINANCIAL SERVICES INC
Investment adviser

SEC file number

801-42770

Source date

March 18, 2026
NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED
Investment adviser

SEC file number

801-71183

Source date

March 23, 2026
NORTHWEST QUADRANT, LLC
Investment adviser

SEC file number

801-72636

Source date

March 17, 2026
NORTHWEST VENTURE SERVICES CORPORATION
Exempt reporting adviser

SEC file number

802-76359

Source date

March 25, 2026
NORTHWEST WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-128653

Source date

August 28, 2026
NORTHWEST WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-72545

Source date

July 6, 2026
NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-119948

Source date

May 6, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-8095

Source date

March 31, 2026
NORTHWIND FINANCIAL LLC
Investment adviser

SEC file number

801-136199

Source date

August 30, 2026
NORTHWOOD INVESTORS LLC
Investment adviser

SEC file number

801-74379

Source date

March 31, 2026
NORTHZONE MANAGEMENT GROWTH II LIMITED
Exempt reporting adviser

SEC file number

802-130265

Source date

March 30, 2026
NORTHZONE MANAGEMENT IX LIMITED
Exempt reporting adviser

SEC file number

802-130264

Source date

March 30, 2026
NORTHZONE MANAGEMENT X LIMITED
Exempt reporting adviser

SEC file number

802-130263

Source date

March 30, 2026
NORTON CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-111866

Source date

September 19, 2025
NORVESTOR INVESTMENT MANAGEMENT
Exempt reporting adviser

SEC file number

802-118234

Source date

March 31, 2026
NORVION CAPITAL LLC
Exempt reporting adviser

SEC file number

802-136684

Source date

June 8, 2026
NORWEST CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-128598

Source date

April 30, 2026
NORWICH VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-79459

Source date

March 9, 2026
NORZIUM EXCHANGE LTD
Exempt reporting adviser

SEC file number

802-137265

Source date

August 11, 2026
NOSARA CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-132633

Source date

March 31, 2026
NOSURIS, INC.
Investment adviser

SEC file number

801-135759

Source date

June 2, 2026
NOT A MANAGEMENT COMPANY, INC.
Exempt reporting adviser

SEC file number

802-132102

Source date

March 13, 2026
NOT BORING CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-135988

Source date

March 25, 2026
NOTABLE CAPITAL MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-75466

Source date

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

SEC file number

802-129002

Source date

March 24, 2026
NOTCH VIEW CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126030

Source date

March 30, 2026
NOTE ADVISORS, LLC
Investment adviser

SEC file number

801-79807

Source date

March 30, 2026
NOTION CAPITAL MANAGERS LLP
Exempt reporting adviser

SEC file number

802-117151

Source date

August 25, 2026
NOTTINGHAM ADVISORS INC.
Investment adviser

SEC file number

801-17685

Source date

September 11, 2026
NOTTINGHAM WEALTH PARTNERS, INC.
Investment adviser

SEC file number

801-120561

Source date

April 17, 2026
NOUR PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-137142

Source date

September 11, 2026
NOVA DIGITAL FZE
Exempt reporting adviser

SEC file number

802-136205

Source date

April 6, 2026
NOVA FINANCIAL LLC
Investment adviser

SEC file number

801-79612

Source date

March 29, 2026
NOVA INFRASTRUCTURE MANAGEMENT, LLC
Investment adviser

SEC file number

801-117516

Source date

March 30, 2026
NOVA R WEALTH, INC.
Investment adviser

SEC file number

801-78933

Source date

August 4, 2026
NOVA WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-128016

Source date

March 30, 2026
NOVACAP MANAGEMENT FINANCIAL SERVICES INC.
Investment adviser

SEC file number

801-128501

Source date

March 27, 2026
NOVACAP MANAGEMENT INC.
Investment adviser

SEC file number

801-128499

Source date

March 27, 2026
NOVACAP MANAGEMENT US INC.
Investment adviser

SEC file number

801-128503

Source date

March 27, 2026
NOVACORE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-137172

Source date

July 28, 2026
NOVAK & POWELL FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-108964

Source date

March 22, 2026
NOVAPOINT CAPITAL LLC
Investment adviser

SEC file number

801-116881

Source date

March 27, 2026
NOVAQUEST CAPITAL MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-73992

Source date

March 31, 2026
NOVARE CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-61848

Source date

August 24, 2026
NOVAWAVE CAPITAL LLC
Investment adviser

SEC file number

801-131887

Source date

April 1, 2026
NOVELLUS VENTURES LS1 GP, LLC
Exempt reporting adviser

SEC file number

802-135612

Source date

February 18, 2026
NOVEM GROUP
Investment adviser

SEC file number

801-72741

Source date

September 3, 2026
NOVEMBER INDIA CO, LLC
Exempt reporting adviser

SEC file number

802-134200

Source date

February 25, 2026
NOVERA VENTURES, LLC
Exempt reporting adviser

SEC file number

802-134988

Source date

March 26, 2026
NOVERA WEALTH, INC.
Investment adviser

SEC file number

801-137307

Source date

August 20, 2026
NOVICA, LLC
Exempt reporting adviser

SEC file number

802-137434

Source date

September 21, 2026
NOVO HOLDINGS US INVESTMENT ADVISOR, INC.
Investment adviser

SEC file number

801-136906

Source date

June 29, 2026
NOVO TELLUS CAPITAL PARTNERS PTE. LTD.
Exempt reporting adviser

SEC file number

802-120087

Source date

March 30, 2026
NOVUS ADVISORS, LLC
Investment adviser

SEC file number

801-78828

Source date

April 29, 2026
NOVUS COMPLIANCE LTD
Exempt reporting adviser

SEC file number

802-135552

Source date

February 11, 2026
NOW ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-136213

Source date

August 6, 2026
NPA ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-66006

Source date

March 20, 2026
NPJ ASSET MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-127117

Source date

June 29, 2026
NPLP MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-132326

Source date

March 31, 2026
NPM CONSULTING, LLC
Investment adviser

SEC file number

801-136087

Source date

March 30, 2026
NPPG PLAN PROFESSIONALS, LLC
Investment adviser

SEC file number

801-127600

Source date

May 22, 2026
NPW INC.
Investment adviser

SEC file number

801-122148

Source date

March 31, 2026
NRD CAPITAL MANAGEMENT II, LLC
Exempt reporting adviser

SEC file number

802-128973

Source date

March 31, 2026
NRD OF I MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-128972

Source date

March 31, 2026
NRI WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-123014

Source date

March 31, 2026
NRV ADVISORY, LLC
Exempt reporting adviser

SEC file number

802-111819

Source date

March 13, 2026
NS MANAGEMENT LTD
Investment adviser

SEC file number

801-113802

Source date

June 17, 2026
NS PARTNERS LTD
Investment adviser

SEC file number

801-26315

Source date

June 26, 2026
NSV MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-76204

Source date

August 17, 2026
NSVCA INC.
Exempt reporting adviser

SEC file number

802-133936

Source date

April 1, 2026
NTASSET (CAYMAN) LTD
Exempt reporting adviser

SEC file number

802-76812

Source date

May 25, 2026
NTF ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-127251

Source date

February 4, 2026
NTI MANAGERS, LLC
Exempt reporting adviser

SEC file number

802-130996

Source date

March 7, 2026
NTV ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-58140

Source date

March 20, 2026
NTV FRONTIER MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132192

Source date

March 25, 2026
NTV MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132190

Source date

September 21, 2026
NTV PROSPERITY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132191

Source date

March 25, 2026
NUANCE INVESTMENTS, LLC
Investment adviser

SEC file number

801-69682

Source date

July 1, 2026
NUCLEO CAPITAL LTDA.
Investment adviser

SEC file number

801-112820

Source date

March 13, 2026
NUCLO WEALTH LLC
Investment adviser

SEC file number

801-129931

Source date

March 27, 2026
NUMA AMERICAS CORP.
Investment adviser

SEC file number

801-76990

Source date

February 19, 2026
NUMEN CAPITAL LLP
Exempt reporting adviser

SEC file number

802-77778

Source date

June 23, 2026
NUMERAI GP LLC
Investment adviser

SEC file number

801-123025

Source date

September 22, 2026
NUMERIC INVESTORS LLC
Investment adviser

SEC file number

801-63276

Source date

August 28, 2026
NUMERIXS INVESTMENT TECHNOLOGIES INC
Investment adviser

SEC file number

801-136719

Source date

July 23, 2026
NUT TREE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-107075

Source date

March 4, 2026
NUTS2INVEST.COM, LLC
Investment adviser

SEC file number

801-76998

Source date

February 19, 2026
NUTSHELL ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-131892

Source date

May 6, 2026
NUTTER INVESTMENT ADVISORS LIMITED PARTNERSHIP
Investment adviser

SEC file number

801-33250

Source date

March 5, 2026
NUVEEN ALTERNATIVES ADVISORS LLC
Investment adviser

SEC file number

801-74475

Source date

April 29, 2026
NUVEEN ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-71957

Source date

March 24, 2026
NUVEEN FUND ADVISORS, LLC
Investment adviser

SEC file number

801-14147

Source date

March 30, 2026
NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED
Exempt reporting adviser

SEC file number

802-117880

Source date

March 27, 2026
NUVEEN SINGAPORE PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-134888

Source date

March 25, 2026
NUVERSE ADVISORS LLC
Investment adviser

SEC file number

801-61511

Source date

March 31, 2026
NUVION CAPITAL INC.
Exempt reporting adviser

SEC file number

802-134831

Source date

October 26, 2025
NVERSES CAPITAL, LLC
Investment adviser

SEC file number

801-134167

Source date

March 31, 2026