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 64 of 95

OSBON CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113245

Source date

March 11, 2026
OSBORNE PARTNERS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-56319

Source date

August 18, 2026
OSCEOLA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-121015

Source date

March 26, 2026
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-68177

Source date

December 16, 2025
OSLO ASSET MANAGEMENT AS
Exempt reporting adviser

SEC file number

802-76663

Source date

April 30, 2026
OSMIUM PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-114792

Source date

March 31, 2026
OSMOSIS INVESTMENT MANAGEMENT US LLC
Investment adviser

SEC file number

801-107781

Source date

May 5, 2026
OSP, LLC
Investment adviser

SEC file number

801-79268

Source date

March 31, 2026
OSPRAIE MANAGEMENT, LLC
Investment adviser

SEC file number

801-119728

Source date

March 31, 2026
OSPREY CAPITAL MANAGEMENT CORP.
Investment adviser

SEC file number

801-81060

Source date

February 18, 2026
OSPREY INVESTORS (UK) LLP
Exempt reporting adviser

SEC file number

802-135602

Source date

March 31, 2026
OSPREY INVESTORS LIMITED
Exempt reporting adviser

SEC file number

802-132969

Source date

April 1, 2026
OSPREY PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-130350

Source date

June 23, 2026
OSRN LTD
Exempt reporting adviser

SEC file number

802-129962

Source date

July 5, 2026
OSS CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-126645

Source date

March 17, 2026
OSTERWEIS CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-18395

Source date

March 31, 2026
OSTERWEIS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-54360

Source date

March 31, 2026
OSTRA CAPITAL MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-118980

Source date

March 16, 2026
OSTROFE FINANCIAL CONSULTANTS INC
Investment adviser

SEC file number

801-34048

Source date

February 3, 2026
OT ADVISORS LLC
Investment adviser

SEC file number

801-129043

Source date

July 29, 2026
OT FINANCIAL, LLC
Investment adviser

SEC file number

801-121769

Source date

March 16, 2026
OT MANAGEMENT, LLC
Investment adviser

SEC file number

801-126317

Source date

April 28, 2026
OTAY VILLAGE III MANAGER, LLC
Exempt reporting adviser

SEC file number

802-125791

Source date

February 27, 2026
OTG ASSET MANAGEMENT, LTD.
Investment adviser

SEC file number

801-119113

Source date

March 30, 2026
OTHERWISE FUND MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118037

Source date

March 31, 2026
OTRO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130769

Source date

March 30, 2026
OTT FAMILY HOLDING LLC
Exempt reporting adviser

SEC file number

802-134821

Source date

March 31, 2026
OTTAWA AVENUE PRIVATE CAPITAL, LLC
Investment adviser

SEC file number

801-107115

Source date

August 28, 2026
OTTER CAPITAL LLC
Exempt reporting adviser

SEC file number

802-76460

Source date

July 29, 2026
OTTER ROCK ADVISORS LP
Exempt reporting adviser

SEC file number

802-136749

Source date

June 15, 2026
OTTO & ASSOCIATES, INC.
Investment adviser

SEC file number

801-58024

Source date

March 26, 2026
OTUS CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-108505

Source date

June 30, 2026
OUELLETTE WEALTH ADVISORY LLC
Investment adviser

SEC file number

801-120970

Source date

August 13, 2026
OUP MANAGEMENT CO., LLC
Exempt reporting adviser

SEC file number

802-120707

Source date

April 9, 2026
OUR WEALTH GUIDES, INC.
Investment adviser

SEC file number

801-121298

Source date

June 18, 2026
OURCROWD INTERNATIONAL GENERAL PARTNER, L.P.
Exempt reporting adviser

SEC file number

802-79027

Source date

May 5, 2026
OUTBOUND FINANCIAL, INC.
Investment adviser

SEC file number

801-131224

Source date

March 6, 2026
OUTCAST VENTURES, LLC
Exempt reporting adviser

SEC file number

802-135261

Source date

January 2, 2026
OUTCOME DRIVEN STRATEGIES, LLC
Investment adviser

SEC file number

801-120270

Source date

March 27, 2026
OUTERLANDS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128866

Source date

March 31, 2026
OUTFITTER ENERGY MANAGEMENT, LLC
Investment adviser

SEC file number

801-108812

Source date

March 20, 2026
OUTFITTERS FINANCIAL LLC
Investment adviser

SEC file number

801-112316

Source date

March 24, 2026
OUTLANDER MANAGEMENT, LLC
Investment adviser

SEC file number

801-128101

Source date

March 26, 2026
OUTLIER CAPITAL ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-137490

Source date

September 10, 2026
OUTLOOK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-132582

Source date

March 16, 2026
OUTLOOK WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-113512

Source date

March 6, 2026
OUTPUT CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135887

Source date

March 18, 2026
OUTRUNNER CAPITAL, LLC
Investment adviser

SEC file number

801-130281

Source date

August 28, 2026
OUTSIDERS VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-127754

Source date

March 27, 2026
OUTWING, LLC
Investment adviser

SEC file number

801-130386

Source date

August 26, 2026
OVAL PARK CAPITAL LLC
Exempt reporting adviser

SEC file number

802-126508

Source date

April 15, 2026
OVATA CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-112198

Source date

March 25, 2026
OVATA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135272

Source date

March 26, 2026
OVCP MANAGER, LLC
Exempt reporting adviser

SEC file number

802-131811

Source date

March 31, 2026
OVERBROOK MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-60790

Source date

April 8, 2026
OVERLAND ADVISORS, LLC
Investment adviser

SEC file number

801-129142

Source date

June 24, 2026
OVERLAP VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-129443

Source date

March 2, 2026
OVERLAY MANAGEMENT, LLC
Investment adviser

SEC file number

801-136161

Source date

April 28, 2026
OVERLINE, LLC
Exempt reporting adviser

SEC file number

802-129982

Source date

February 3, 2026
OVERLOOK CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135941

Source date

March 23, 2026
OVERLOOK INVESTMENTS L.P.
Investment adviser

SEC file number

801-65983

Source date

March 25, 2026
OVERLOOK INVESTMENTS LIMITED
Investment adviser

SEC file number

801-65982

Source date

March 25, 2026
OVERLOOK VENTURES LLC
Exempt reporting adviser

SEC file number

802-134684

Source date

April 1, 2026
OVERMATCH VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134886

Source date

March 27, 2026
OVERSEAS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-123165

Source date

March 30, 2026
OVERTURE CLIMATE LLC
Exempt reporting adviser

SEC file number

802-129852

Source date

March 23, 2026
OVERWATCH CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-136329

Source date

May 29, 2026
OVERWATER VENTURES LLC
Exempt reporting adviser

SEC file number

802-131625

Source date

March 31, 2026
OVN CAPITAL LLC
Exempt reporting adviser

SEC file number

802-122107

Source date

March 31, 2026
OVO II MANAGER, LLC
Exempt reporting adviser

SEC file number

802-127525

Source date

March 13, 2026
OVP MANAGEMENT CO., LLC
Exempt reporting adviser

SEC file number

802-120704

Source date

April 10, 2026
OWEN LARUE, LLC
Investment adviser

SEC file number

801-111041

Source date

September 8, 2026
OWL CREEK ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-66113

Source date

April 10, 2026
OWL CREEK WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-130565

Source date

September 1, 2026
OWL VENTURES, LLC
Investment adviser

SEC file number

801-135368

Source date

March 16, 2026
OWLHOUSE CAPITAL LP
Investment adviser

SEC file number

801-134008

Source date

March 31, 2026
OWLS NEST PARTNERS IA, LLC
Investment adviser

SEC file number

801-120755

Source date

March 30, 2026
OWNER RESOURCE GROUP, LLC
Investment adviser

SEC file number

801-79553

Source date

April 24, 2026
OWNIT TECHNOLOGIES LLC
Investment adviser

SEC file number

801-137093

Source date

August 20, 2026
OXBOW ADVISORS, LLC
Investment adviser

SEC file number

801-72387

Source date

June 19, 2026
OXBOW CAPITAL MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-106711

Source date

March 30, 2026
OXBOW HOLDINGS, INC.
Investment adviser

SEC file number

801-135143

Source date

January 6, 2026
OXENFREE CAPITAL LLC
Investment adviser

SEC file number

801-128275

Source date

June 22, 2026
OXFORD ASSET MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-118974

Source date

June 22, 2026
OXFORD CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-131210

Source date

February 20, 2026
OXFORD FINANCE ADVISORS, LLC
Investment adviser

SEC file number

801-126145

Source date

August 27, 2026
OXFORD FINANCIAL GROUP, LTD. LLC
Investment adviser

SEC file number

801-20692

Source date

July 9, 2026
OXFORD GATE MANAGEMENT, LLC
Investment adviser

SEC file number

801-122893

Source date

March 27, 2026
OXFORD HARRIMAN HOLDINGS ADV LLC
Investment adviser

SEC file number

801-135797

Source date

September 23, 2026
OXFORD LANE MANAGEMENT, LLC
Investment adviser

SEC file number

801-71654

Source date

March 27, 2026
OXFORD PARK MANAGEMENT, LLC
Investment adviser

SEC file number

801-127170

Source date

March 27, 2026
OXFORD PLANNING GROUP, LLC
Investment adviser

SEC file number

801-136710

Source date

July 8, 2026
OXFORD SQUARE MANAGEMENT, LLC
Investment adviser

SEC file number

801-62278

Source date

March 27, 2026
OXFORD WEALTH GROUP, LLC
Investment adviser

SEC file number

801-124718

Source date

May 5, 2026
OXFORD WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-131225

Source date

June 29, 2026
OXINAS PARTNERS, LLC
Investment adviser

SEC file number

801-113877

Source date

February 11, 2026
OXLER PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-119258

Source date

March 16, 2026
OXLEY, HARRY KEIR
Investment adviser

SEC file number

801-106587

Source date

March 30, 2026
OXSHOTT CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-126108

Source date

May 1, 2026
OY SIRIUS CAPITAL PARTNERS AB
Exempt reporting adviser

SEC file number

802-101489

Source date

March 27, 2026
OZE CAPITAL LLC
Investment adviser

SEC file number

801-128773

Source date

August 25, 2026
P CAPITAL PARTNERS AB
Exempt reporting adviser

SEC file number

802-80318

Source date

March 6, 2026
P&A CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-58097

Source date

March 26, 2026
P. J. SCHMIDT INVESTMENT MANAGEMENT, INC
Investment adviser

SEC file number

801-16815

Source date

March 27, 2026
P. SCHOENFELD ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-69914

Source date

March 31, 2026
P.A.W. CAPITAL PARTNERS, LP
Investment adviser

SEC file number

801-74083

Source date

September 16, 2026
P/E GLOBAL LLC
Investment adviser

SEC file number

801-72133

Source date

March 23, 2026
P2 CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-73830

Source date

April 1, 2026
P3 ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-128426

Source date

May 29, 2026
P4G CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-114926

Source date

April 27, 2026
PA CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134232

Source date

February 4, 2026
PAAMCO PRISMA, LLC
Investment adviser

SEC file number

801-57416

Source date

May 8, 2026
PACE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-117433

Source date

March 30, 2026
PACE FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-123174

Source date

April 15, 2026
PACE HEALTHCARE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-133956

Source date

March 20, 2026
PACELINE EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-121722

Source date

March 30, 2026
PACENOTE EQUITY LLC
Exempt reporting adviser

SEC file number

802-129491

Source date

March 25, 2026
PACER ADVISORS, INC.
Investment adviser

SEC file number

801-79654

Source date

August 13, 2026
PACES FERRY WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-114559

Source date

March 31, 2026
PACESETTER FINANCIAL GROUP, L.L.C.
Investment adviser

SEC file number

801-129763

Source date

September 15, 2026
PACHIRA INVESTMENTS, INC.
Investment adviser

SEC file number

801-77136

Source date

March 6, 2026
PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-113483

Source date

March 31, 2026
PACIFIC ALLIANCE VENTURES LLC
Exempt reporting adviser

SEC file number

802-136376

Source date

April 28, 2026
PACIFIC ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-60894

Source date

June 11, 2026
PACIFIC AVENUE CAPITAL PARTNERS MANAGEMENT COMPANY LLC
Investment adviser

SEC file number

801-122126

Source date

May 4, 2026
PACIFIC BUSINESS SCHOOL LTD
Exempt reporting adviser

SEC file number

802-134928

Source date

November 11, 2025
PACIFIC CAPITAL ASSOCIATES, INC.
Investment adviser

SEC file number

801-112260

Source date

April 20, 2026
PACIFIC CAPITAL PARTNERS LIMITED
Investment adviser

SEC file number

801-121528

Source date

September 25, 2025
PACIFIC CAPITAL WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-80494

Source date

September 8, 2026
PACIFIC COAST INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-131414

Source date

March 31, 2026
PACIFIC COMMUNITY MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-75509

Source date

March 3, 2026
PACIFIC EQUITY PARTNERS PTY LIMITED
Exempt reporting adviser

SEC file number

802-112990

Source date

September 23, 2025
PACIFIC EXCEL WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-133924

Source date

August 31, 2026
PACIFIC FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-136357

Source date

June 26, 2026
PACIFIC FINANCIAL GROUP INC
Investment adviser

SEC file number

801-18151

Source date

May 15, 2026
PACIFIC FINANCIAL GROUP,LLC
Investment adviser

SEC file number

801-68318

Source date

March 31, 2026
PACIFIC FINANCIAL STRATEGIES, INC
Investment adviser

SEC file number

801-70849

Source date

June 24, 2026
PACIFIC GLOBAL INVESTMENT MANAGEMENT COMPANY
Investment adviser

SEC file number

801-41668

Source date

August 7, 2026
PACIFIC HARBOR HOLDINGS, LIMITED
Investment adviser

SEC file number

801-77290

Source date

March 12, 2026
PACIFIC HEIGHTS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-61673

Source date

February 17, 2026
PACIFIC INCOME ADVISERS INC
Investment adviser

SEC file number

801-27828

Source date

June 25, 2026
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
Investment adviser

SEC file number

801-48187

Source date

August 28, 2026
PACIFIC LAKE PARTNERS, L.L.C.
Investment adviser

SEC file number

801-110327

Source date

May 8, 2026
PACIFIC LIFE FUND ADVISORS LLC
Investment adviser

SEC file number

801-15057

Source date

March 11, 2026
PACIFIC MANAGEMENT PARTNERS LLC
Investment adviser

SEC file number

801-120199

Source date

May 27, 2026
PACIFIC PARK FINANCIAL, INC.
Investment adviser

SEC file number

801-64063

Source date

March 23, 2026
PACIFIC PEAK ADVISORS, LLC
Investment adviser

SEC file number

801-128225

Source date

June 4, 2026
PACIFIC PEAK CAPITAL PARTNERS LTD
Exempt reporting adviser

SEC file number

802-133011

Source date

May 15, 2025
PACIFIC POINT ADVISORS, LLC
Investment adviser

SEC file number

801-126183

Source date

July 10, 2026
PACIFIC PRIVATE FUND ADVISORS LLC
Investment adviser

SEC file number

801-78581

Source date

March 26, 2026
PACIFIC RIDGE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-78126

Source date

April 7, 2026
PACIFIC ROAD CAPITAL MANAGEMENT PTY LTD
Exempt reporting adviser

SEC file number

802-75965

Source date

August 17, 2026
PACIFIC SAGE PARTNERS, LLC
Investment adviser

SEC file number

801-122834

Source date

March 4, 2026
PACIFIC SPECIALTY INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-136588

Source date

August 4, 2026
PACIFIC STRATEGIC MANAGEMENT, LP
Investment adviser

SEC file number

801-62342

Source date

March 31, 2026
PACIFIC SUN FINANCIAL CORP
Investment adviser

SEC file number

801-107989

Source date

September 16, 2025
PACIFIC VALUE, LLC
Investment adviser

SEC file number

801-69129

Source date

March 26, 2026
PACIFIC WAY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-132835

Source date

August 3, 2026
PACIFIC WEALTH ADVISORY SERVICES LLC
Investment adviser

SEC file number

801-130327

Source date

February 19, 2026
PACIFIC WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-77277

Source date

April 1, 2026
PACIFIC WEALTH STRATEGIES GROUP, INC.
Investment adviser

SEC file number

801-68311

Source date

July 14, 2026
PACIFICA CAPITAL INVESTMENTS LLC
Investment adviser

SEC file number

801-62010

Source date

April 30, 2026
PACIFICA PARTNERS CAPITAL MANAGEMENT INC.
Investment adviser

SEC file number

801-75541

Source date

January 22, 2026
PACIFICA PARTNERS INC
Investment adviser

SEC file number

801-69785

Source date

January 22, 2026
PACK PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-119617

Source date

March 12, 2026
PACK VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132670

Source date

April 3, 2026
PACKERLAND BROKERAGE SERVICES, INC.
Investment adviser

SEC file number

801-74927

Source date

April 15, 2026
PACT CAPITAL LLC
Investment adviser

SEC file number

801-131813

Source date

July 10, 2026
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-71915

Source date

September 4, 2026
PACVEN WALDEN MANAGEMENT CO., LTD.
Exempt reporting adviser

SEC file number

802-112582

Source date

March 31, 2026
PAG
Exempt reporting adviser

SEC file number

802-75212

Source date

March 31, 2026
PAG INVESTMENT ADVISORS PTE. LTD.
Exempt reporting adviser

SEC file number

802-113484

Source date

March 31, 2026
PAGAYA INVESTMENTS US LLC
Investment adviser

SEC file number

801-121084

Source date

June 18, 2026
PAGE ONE VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-127874

Source date

March 31, 2026
PAGE WEALTH SERVICES, LLC
Investment adviser

SEC file number

801-137086

Source date

September 17, 2026
PAI PARTNERS SARL
Exempt reporting adviser

SEC file number

802-118441

Source date

March 27, 2026
PAI SAS
Exempt reporting adviser

SEC file number

802-132573

Source date

March 27, 2026
PAINE SCHWARTZ PARTNERS, LLC
Investment adviser

SEC file number

801-73472

Source date

March 30, 2026
PAINSWICK CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-131492

Source date

July 9, 2026
PAINTED PORCH ADVISORS LLC
Investment adviser

SEC file number

801-122861

Source date

March 23, 2026
PALACIOS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-131973

Source date

July 6, 2026
PALADIN ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-112430

Source date

March 5, 2026
PALADIN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-61489

Source date

June 10, 2026
PALADIN CAPITAL, LLC
Investment adviser

SEC file number

801-128690

Source date

June 24, 2026
PALADIN PARTNERS, LLC
Investment adviser

SEC file number

801-136877

Source date

August 12, 2026
PALADIN REALTY PARTNERS, LLC
Investment adviser

SEC file number

801-74130

Source date

March 30, 2026
PALADIN WEALTH, LLC
Investment adviser

SEC file number

801-128300

Source date

September 22, 2026
PALAMON CAPITAL PARTNERS, LP
Exempt reporting adviser

SEC file number

802-75507

Source date

March 30, 2026
PALANTE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135678

Source date

June 8, 2026
PALATINE FUND ADVISORS, LLC
Investment adviser

SEC file number

801-113651

Source date

March 26, 2026
PALATINE HILL, LLC
Investment adviser

SEC file number

801-117400

Source date

June 24, 2026
PALATINE PRIVATE EQUITY LLP
Exempt reporting adviser

SEC file number

802-76145

Source date

March 25, 2026
PALEKANA LTD
Exempt reporting adviser

SEC file number

802-126991

Source date

March 2, 2026
PALESTRA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-74131

Source date

March 31, 2026
PALISADE AMERICAS MANAGEMENT LLC
Investment adviser

SEC file number

801-128307

Source date

June 11, 2026
PALISADE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-64471

Source date

July 10, 2026
PALISADE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-48401

Source date

July 31, 2026
PALISADE INVESTMENT PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-131195

Source date

September 18, 2026
PALISADE INVESTMENTS, LLC
Investment adviser

SEC file number

801-80001

Source date

July 16, 2026
PALISADES HUDSON ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-55677

Source date

March 18, 2026
PALISADES INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-129882

Source date

February 27, 2026
PALISADES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136063

Source date

March 30, 2026
PALISTAR CAPITAL LP
Investment adviser

SEC file number

801-114951

Source date

March 26, 2026
PALLADIEM LLC
Investment adviser

SEC file number

801-72726

Source date

March 18, 2026
PALLADIN CONSUMER PARTNERS, LLC
Investment adviser

SEC file number

801-77503

Source date

September 2, 2026
PALLADIUM EQUITY PARTNERS ADVISOR, LLC
Investment adviser

SEC file number

801-73865

Source date

March 31, 2026
PALLADIUM HERITAGE MANAGEMENT, LLC
Investment adviser

SEC file number

801-125771

Source date

March 31, 2026
PALLAS CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-119646

Source date

July 24, 2026
PALLER FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-129389

Source date

February 3, 2026
PALLISER CAPITAL (UK) LTD
Exempt reporting adviser

SEC file number

802-122161

Source date

March 27, 2026
PALLISER CAPITAL (US) LLC
Exempt reporting adviser

SEC file number

802-132981

Source date

March 27, 2026
PALM BEACH CAPITAL MANAGEMENT III, LLC
Investment adviser

SEC file number

801-73453

Source date

March 27, 2026
PALM DRIVE CAPITAL LLC
Investment adviser

SEC file number

801-114711

Source date

June 8, 2026
PALM MANAGEMENT (US) LLC
Exempt reporting adviser

SEC file number

802-123176

Source date

March 30, 2026
PALM PEAK CAPITAL, LLC
Investment adviser

SEC file number

801-136820

Source date

June 24, 2026
PALM SPRINGS ADVISORY LLC
Investment adviser

SEC file number

801-112007

Source date

September 2, 2026
PALM TREE CREW MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130052

Source date

March 30, 2026
PALM VALLEY CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-114514

Source date

January 13, 2026
PALMER SQUARE BDC ADVISOR LLC
Investment adviser

SEC file number

801-117865

Source date

March 31, 2026
PALMER SQUARE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-72047

Source date

September 22, 2026
PALMER SQUARE EUROPE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-119475

Source date

March 31, 2026
PALMER SQUARE PRIVATE CREDIT MANAGEMENT LLC
Investment adviser

SEC file number

801-127419

Source date

March 31, 2026
PALMERSTON CAPITAL MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-108078

Source date

June 1, 2026
PALO ALTO INVESTORS LP
Investment adviser

SEC file number

801-58166

Source date

March 27, 2026
PALO DURO INVESTMENT PARTNERS, LP
Investment adviser

SEC file number

801-127166

Source date

July 21, 2026
PALOGIC VALUE MANAGEMENT, L.P.
Investment adviser

SEC file number

801-120951

Source date

June 29, 2026
PALOMA PARTNERS MANAGEMENT COMPANY
Investment adviser

SEC file number

801-72796

Source date

May 20, 2026
PALOMAR ADVISORS INC.
Investment adviser

SEC file number

801-136031

Source date

April 1, 2026
PALOS MANAGEMENT INC.
Investment adviser

SEC file number

801-116950

Source date

March 20, 2026
PALUMBO WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-117901

Source date

August 3, 2026
PALUS ADVISORY LLC
Investment adviser

SEC file number

801-137059

Source date

July 16, 2026
PAMALICAN ASSET MANAGEMENT LIMITED
Investment adviser

SEC file number

801-135054

Source date

July 27, 2026
PAMALICAN ASSET MANAGEMENT US LLC
Exempt reporting adviser

SEC file number

802-132501

Source date

July 27, 2026
PAMLICO CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-74226

Source date

March 27, 2026
PAMPA CAPITAL MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-76021

Source date

March 27, 2026
PAMPLONA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-73371

Source date

March 30, 2026
PAMPLONA CAPITAL MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-112805

Source date

March 30, 2026
PAMPLONA PE INVESTMENTS MALTA LIMITED
Exempt reporting adviser

SEC file number

802-112476

Source date

March 30, 2026
PAN CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-134469

Source date

January 16, 2026
PAN GLOBAL ADVISERS, LLC
Investment adviser

SEC file number

801-115286

Source date

September 18, 2026
PANACEA OPPORTUNITY FUND I GP COMPANY, LTD.
Exempt reporting adviser

SEC file number

802-124776

Source date

March 30, 2026
PANACEA VENTURE ADVISORS (HK) LIMITED
Exempt reporting adviser

SEC file number

802-118570

Source date

March 30, 2026
PANACEA VENTURE HEALTHCARE FUND GP I, L.P.
Exempt reporting adviser

SEC file number

802-118546

Source date

March 30, 2026
PANACEA VENTURE HEALTHCARE FUND II GP COMPANY, LTD.
Exempt reporting adviser

SEC file number

802-124777

Source date

March 30, 2026
PANACEA VENTURE MANAGEMENT COMPANY LTD.
Exempt reporting adviser

SEC file number

802-115157

Source date

March 30, 2026
PANAGORA ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-35497

Source date

March 30, 2026
PANDECT BIOVENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-114677

Source date

April 30, 2025
PANDI, LLC
Investment adviser

SEC file number

801-131022

Source date

August 26, 2026
PANDION ASSET MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-135604

Source date

April 15, 2026
PANDORA WEALTH, INC.
Investment adviser

SEC file number

801-130622

Source date

July 30, 2026