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 67 of 95

PGIM PRIVATE CAPITAL (IRELAND) LIMITED
Exempt reporting adviser

SEC file number

802-117583

Source date

April 30, 2026
PGIM PRIVATE PLACEMENT INVESTORS, L.P.
Investment adviser

SEC file number

801-43479

Source date

March 27, 2026
PGIM QUANTITATIVE SOLUTIONS LLC
Investment adviser

SEC file number

801-62692

Source date

July 1, 2026
PGIM REAL ESTATE ADVISORS LLC
Investment adviser

SEC file number

801-128719

Source date

March 27, 2026
PGIM, INC.
Investment adviser

SEC file number

801-22808

Source date

April 28, 2026
PGM INC.
Investment adviser

SEC file number

801-114292

Source date

March 26, 2026
PGP ADVISORS, LLC
Investment adviser

SEC file number

801-110917

Source date

March 30, 2026
PHARMAKON ADVISORS, LP
Investment adviser

SEC file number

801-74263

Source date

March 31, 2026
PHARO MANAGEMENT, INC.
Investment adviser

SEC file number

801-73145

Source date

March 31, 2026
PHAROS CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-72752

Source date

March 16, 2026
PHARSALUS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132737

Source date

March 30, 2026
PHARVISION ADVISERS, LLC
Investment adviser

SEC file number

801-120320

Source date

March 27, 2026
PHASE 3 CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-113155

Source date

September 2, 2026
PHASE III ADVISORY SERVICES, LTD
Investment adviser

SEC file number

801-63806

Source date

April 28, 2026
PHD BIOTECH HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-134322

Source date

March 4, 2026
PHD CONSULTING LLC
Investment adviser

SEC file number

801-117154

Source date

September 16, 2026
PHENOMENAL VENTURES LLC
Exempt reporting adviser

SEC file number

802-135377

Source date

February 2, 2026
PHESTOS CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-134880

Source date

May 21, 2026
PHIFUND MANAGERS, LLC
Exempt reporting adviser

SEC file number

802-125899

Source date

March 31, 2026
PHIL A. YOUNKER & ASSOCIATES, LTD.
Investment adviser

SEC file number

801-119995

Source date

February 6, 2026
PHILADELPHIA FINANCIAL MANAGEMENT OF SAN FRANCISCO, LLC
Investment adviser

SEC file number

801-63788

Source date

March 23, 2026
PHILADELPHIA INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-132996

Source date

March 25, 2026
PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-112861

Source date

March 31, 2026
PHILIP JAMES WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-119808

Source date

May 11, 2026
PHILIP O. JOHNSON & COMPANY, LTD.
Investment adviser

SEC file number

801-113449

Source date

March 19, 2026
PHILIP VONGONTARD, CFA, LLC
Investment adviser

SEC file number

801-67108

Source date

May 1, 2026
PHILLIP B. WHITE CO., INC.
Investment adviser

SEC file number

801-114890

Source date

March 31, 2026
PHILLIP JAMES CONSULTING CO.
Investment adviser

SEC file number

801-120327

Source date

March 27, 2026
PHILLIPS AND COMPANY ADVISORS LLC
Investment adviser

SEC file number

801-63879

Source date

March 26, 2026
PHILLIPS CAPITAL, LLC
Investment adviser

SEC file number

801-120281

Source date

February 7, 2026
PHILLIPS FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-63343

Source date

March 17, 2026
PHILLIPS WEALTH PLANNERS LLC
Investment adviser

SEC file number

801-126127

Source date

March 4, 2026
PHILOS & PARTNERS AG
Exempt reporting adviser

SEC file number

802-128236

Source date

February 18, 2026
PHILOSMITH CAPITAL CORPORATION
Investment adviser

SEC file number

801-76154

Source date

March 26, 2026
PHILOSOPHY CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-120367

Source date

March 17, 2026
PHILOTIMO VENTURES, LLC
Exempt reporting adviser

SEC file number

802-136374

Source date

April 28, 2026
PHOBOS, LLC
Exempt reporting adviser

SEC file number

802-136139

Source date

April 2, 2026
PHOCAS FINANCIAL CORPORATION
Investment adviser

SEC file number

801-64317

Source date

May 12, 2026
PHOENICIAN CAPITAL LLC
Investment adviser

SEC file number

801-121866

Source date

March 19, 2026
PHOENICIAN RESOURCES FUND SPONSOR, LLC
Investment adviser

SEC file number

801-117261

Source date

March 30, 2026
PHOENIX ASSET MANAGEMENT PARTNERS LIMITED
Investment adviser

SEC file number

801-108356

Source date

June 29, 2026
PHOENIX CAPITAL REALTY ADVISORS, LLC
Investment adviser

SEC file number

801-74334

Source date

March 31, 2026
PHOENIX COURT FUND MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-128526

Source date

March 31, 2026
PHOENIX EQUITY PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-76518

Source date

April 30, 2026
PHOENIX INTERNATIONAL INVESTMENTS LLC
Investment adviser

SEC file number

801-115103

Source date

March 30, 2026
PHOENIX INVESTMENT ADVISER LLC
Exempt reporting adviser

SEC file number

802-120826

Source date

March 27, 2026
PHOENIX MERCHANT PARTNERS, LP
Investment adviser

SEC file number

801-128676

Source date

March 31, 2026
PHOENIX REALTY GROUP LLC
Investment adviser

SEC file number

801-74246

Source date

March 26, 2026
PHOENIX VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-75151

Source date

March 23, 2026
PHOENIX WEALTH ADVISORS INC.
Investment adviser

SEC file number

801-60793

Source date

July 2, 2026
PHORCYS CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-121806

Source date

April 1, 2026
PHOSPHORUS WEALTH ADVISORS INC
Exempt reporting adviser

SEC file number

802-131488

Source date

January 26, 2026
PHRACTION MANAGEMENT LLC
Investment adviser

SEC file number

801-114087

Source date

September 11, 2026
PHX MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-129777

Source date

February 9, 2026
PHYSICIAN FAMILY FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-117856

Source date

July 23, 2026
PHYSICIAN WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-63664

Source date

March 19, 2026
PHYSICIAN WEALTH SOLUTIONS INC.
Investment adviser

SEC file number

801-109977

Source date

February 9, 2026
PHYSICIANS FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-66583

Source date

March 30, 2026
PI RADIANS CAPITAL INC.
Exempt reporting adviser

SEC file number

802-136402

Source date

May 1, 2026
PIAR LLC
Investment adviser

SEC file number

801-129979

Source date

July 23, 2026
PICEA CAPITAL LLC
Investment adviser

SEC file number

801-118458

Source date

March 30, 2026
PICHARDO ASSET MANAGEMENT, S.A. DE C.V.
Investment adviser

SEC file number

801-62108

Source date

February 18, 2026
PICKEREL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-133934

Source date

March 26, 2026
PICKERING ENERGY PARTNERS LP
Investment adviser

SEC file number

801-116833

Source date

May 26, 2026
PICO MANAGEMENT COMPANY LTD.
Exempt reporting adviser

SEC file number

802-111961

Source date

March 18, 2026
PICTET ALTERNATIVE ADVISORS (UK) LTD
Exempt reporting adviser

SEC file number

802-129336

Source date

March 12, 2026
PICTET ALTERNATIVE ADVISORS SA
Exempt reporting adviser

SEC file number

802-129304

Source date

March 20, 2026
PICTET ASSET MANAGEMENT (EUROPE) SA
Exempt reporting adviser

SEC file number

802-129621

Source date

March 11, 2026
PICTET ASSET MANAGEMENT (SINGAPORE) PTE LTD
Investment adviser

SEC file number

801-77703

Source date

June 25, 2026
PICTET ASSET MANAGEMENT (USA) CORP
Investment adviser

SEC file number

801-120136

Source date

June 25, 2026
PICTET ASSET MANAGEMENT LIMITED
Investment adviser

SEC file number

801-15143

Source date

July 23, 2026
PICTET ASSET MANAGEMENT SA
Investment adviser

SEC file number

801-66760

Source date

June 25, 2026
PICTET NORTH AMERICA ADVISORS SA
Investment adviser

SEC file number

801-67491

Source date

August 28, 2026
PICTON MAHONEY ASSET MANAGEMENT
Exempt reporting adviser

SEC file number

802-137478

Source date

September 9, 2026
PIEDMONT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-110286

Source date

March 19, 2026
PIEDMONT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-121170

Source date

March 30, 2026
PIEDMONT PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-135169

Source date

March 5, 2026
PIER 88 INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-107193

Source date

March 25, 2026
PIER ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-126029

Source date

March 15, 2026
PIER CAPITAL, LLC
Investment adviser

SEC file number

801-63390

Source date

March 30, 2026
PIERPOINT CAPITAL LLC
Exempt reporting adviser

SEC file number

802-111761

Source date

March 2, 2026
PIF CAPITAL MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-127545

Source date

March 30, 2026
PIF EQUITY PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-136003

Source date

March 26, 2026
PIKE STREET CAPITAL, LP
Investment adviser

SEC file number

801-120557

Source date

March 27, 2026
PILGRIM GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-126727

Source date

March 6, 2026
PILGRIM PARTNERS ASIA (PTE.) LTD.
Exempt reporting adviser

SEC file number

802-114585

Source date

August 20, 2026
PILGRIMS CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-129119

Source date

March 20, 2026
PILLAR CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-130064

Source date

March 23, 2026
PILLAR COMPANIES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-107978

Source date

September 10, 2026
PILLAR FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-81053

Source date

July 16, 2026
PILLSBURY LAKE CAPITAL, LLC
Investment adviser

SEC file number

801-132823

Source date

April 29, 2026
PILOTAGE PRIVATE WEALTH AG
Investment adviser

SEC file number

801-79148

Source date

March 19, 2026
PILOTAI WEALTH LLC
Investment adviser

SEC file number

801-134131

Source date

May 27, 2026
PIMCO PRIME REAL ESTATE GMBH
Exempt reporting adviser

SEC file number

802-120050

Source date

March 30, 2026
PIN OAK INVESTMENT ADVISORS INC
Investment adviser

SEC file number

801-35858

Source date

April 1, 2026
PINAFORE WEALTH COUNSEL INC.
Investment adviser

SEC file number

801-130577

Source date

February 11, 2026
PINCUS CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-132938

Source date

June 26, 2026
PINE BROOK ROAD ADVISORS, L.P.
Exempt reporting adviser

SEC file number

802-122332

Source date

May 29, 2026
PINE CREST CAPITAL LLC
Exempt reporting adviser

SEC file number

802-110469

Source date

March 24, 2026
PINE HARBOR WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-129354

Source date

February 23, 2026
PINE HAVEN INVESTMENT COUNSEL, INC.
Investment adviser

SEC file number

801-71502

Source date

February 20, 2026
PINE RIDGE ADVISERS LLC
Investment adviser

SEC file number

801-113396

Source date

March 31, 2026
PINE RIVER CAPITAL MANAGEMENT L.P.
Investment adviser

SEC file number

801-65336

Source date

June 16, 2026
PINE ROAD ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-76496

Source date

February 13, 2026
PINE VALLEY CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-130818

Source date

March 31, 2026
PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY
Investment adviser

SEC file number

801-80742

Source date

March 30, 2026
PINEBRIDGE BENSON ELLIOT LLP
Exempt reporting adviser

SEC file number

802-74970

Source date

March 31, 2026
PINEBRIDGE INVESTMENTS ASIA LIMITED
Exempt reporting adviser

SEC file number

802-74181

Source date

June 10, 2026
PINEBRIDGE INVESTMENTS EUROPE LIMITED
Exempt reporting adviser

SEC file number

802-76432

Source date

March 31, 2026
PINEBRIDGE INVESTMENTS LLC
Investment adviser

SEC file number

801-108522

Source date

May 11, 2026
PINEGROVE ADVISER LLC
Investment adviser

SEC file number

801-79456

Source date

September 16, 2026
PINEGROVE VENTURE PARTNERS, LLC
Investment adviser

SEC file number

801-128396

Source date

June 1, 2026
PINERIDGE ADVISORS, LLC
Investment adviser

SEC file number

801-121800

Source date

May 28, 2026
PINESTONE ASSET MANAGEMENT INC.
Investment adviser

SEC file number

801-122764

Source date

March 30, 2026
PINETREE ADVISORS CORP.
Investment adviser

SEC file number

801-136741

Source date

June 25, 2026
PINETREE MEEMBAY INVESTMENT MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137026

Source date

July 7, 2026
PINEY LAKE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-113530

Source date

March 31, 2026
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED
Exempt reporting adviser

SEC file number

802-129316

Source date

March 30, 2026
PING AN OVERSEAS INVESTMENT MANAGEMENT COMPANY LIMITED
Exempt reporting adviser

SEC file number

802-116837

Source date

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

SEC file number

801-118463

Source date

March 2, 2026
PINGORA PARTNERS LLC
Investment adviser

SEC file number

801-130523

Source date

March 31, 2026
PINION INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-63322

Source date

May 19, 2026
PINKERTON WEALTH, LLC
Investment adviser

SEC file number

801-71563

Source date

September 18, 2026
PINKY PROMISE MANAGEMENT CO 1, LLC
Exempt reporting adviser

SEC file number

802-131763

Source date

March 28, 2025
PINNACLE ADVISORS LLC
Investment adviser

SEC file number

801-53493

Source date

March 26, 2026
PINNACLE ASSET MANAGEMENT GROUP, CORPORATION (INC.)
Investment adviser

SEC file number

801-113976

Source date

March 25, 2026
PINNACLE ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-62150

Source date

August 4, 2026
PINNACLE ASSOCIATES, LTD.
Investment adviser

SEC file number

801-20841

Source date

March 26, 2026
PINNACLE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-67143

Source date

April 2, 2026
PINNACLE EQUITY PARTNERS GP LLC
Exempt reporting adviser

SEC file number

802-131777

Source date

March 31, 2026
PINNACLE FAMILY ADVISORS, LLC
Investment adviser

SEC file number

801-78013

Source date

March 31, 2026
PINNACLE FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-71357

Source date

March 17, 2026
PINNACLE HILL PARTNERS LP
Exempt reporting adviser

SEC file number

802-131755

Source date

March 27, 2026
PINNACLE HOLDINGS, LLC
Investment adviser

SEC file number

801-57298

Source date

March 5, 2026
PINNACLE INVESTMENTS, LLC
Investment adviser

SEC file number

801-67860

Source date

July 16, 2026
PINNACLE PARTNER MANAGEMENT LLC
Investment adviser

SEC file number

801-129116

Source date

September 9, 2026
PINNACLE PEAK MANAGEMENT II, L.L.C.
Exempt reporting adviser

SEC file number

802-122993

Source date

March 13, 2026
PINNACLE PEAK PRIVATE CLIENT GROUP, LLC
Investment adviser

SEC file number

801-110993

Source date

February 27, 2026
PINNACLE PENSION CONSULTANTS LLC
Investment adviser

SEC file number

801-68286

Source date

March 5, 2026
PINNACLE PORTFOLIO ADVISORS, LLC
Investment adviser

SEC file number

801-114877

Source date

February 6, 2026
PINNACLE STRATEGIC WEALTH MANAGEMENT, LLC.
Investment adviser

SEC file number

801-131686

Source date

January 5, 2026
PINNACLE TIMBERLAND MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-119221

Source date

March 25, 2026
PINNACLE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-116763

Source date

July 16, 2026
PINNACLE WEALTH MANAGEMENT ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-72657

Source date

March 22, 2026
PINNACLE WEALTH MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-113407

Source date

September 25, 2026
PINNACLE WEALTH MANAGEMENT PARTNERS, INC.
Investment adviser

SEC file number

801-125967

Source date

March 16, 2026
PINNACLE WEALTH PLANNING SERVICES, INC.
Investment adviser

SEC file number

801-51715

Source date

July 27, 2026
PINNACLE WEST ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-40271

Source date

April 1, 2026
PINNBROOK CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-120535

Source date

March 30, 2026
PINNEY & SCOFIELD, INC.
Investment adviser

SEC file number

801-23657

Source date

March 27, 2026
PINPOINT ASSET MANAGEMENT (SINGAPORE) PTE. LTD.
Exempt reporting adviser

SEC file number

802-135808

Source date

March 10, 2026
PINPOINT ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-119124

Source date

March 30, 2026
PINVEST LLC
Investment adviser

SEC file number

801-130446

Source date

June 26, 2026
PIONEER ADMINISTRATIVE SERVICES LTD
Investment adviser

SEC file number

801-111883

Source date

March 25, 2026
PIONEER ADVISORY LLC
Investment adviser

SEC file number

801-133887

Source date

March 31, 2026
PIONEER FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-116725

Source date

April 10, 2026
PIONEER FUND MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-121050

Source date

March 26, 2026
PIONEER GLOBAL INVESTMENTS LTD.
Exempt reporting adviser

SEC file number

802-135388

Source date

January 23, 2026
PIONEER POINT PARTNERS LLP
Exempt reporting adviser

SEC file number

802-128574

Source date

March 31, 2026
PIONEER SQUARE INVESTMENT ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-112603

Source date

April 11, 2026
PIONEER WEALTH MANAGEMENT GROUP, INC
Investment adviser

SEC file number

801-120285

Source date

February 5, 2026
PIONEX INVESTMENTS INC.
Investment adviser

SEC file number

801-123168

Source date

February 6, 2026
PIPELINE CAPITAL PARTNERS I GP, LLC
Exempt reporting adviser

SEC file number

802-114969

Source date

March 16, 2026
PIPER HEARTLAND HEALTHCARE CAPITAL, LLC
Investment adviser

SEC file number

801-119268

Source date

March 26, 2026
PIPER PE LIMITED LIABILITY PARTNERSHIP
Exempt reporting adviser

SEC file number

802-107643

Source date

June 3, 2026
PIPER SANDLER & CO.
Investment adviser

SEC file number

801-108049

Source date

March 23, 2026
PIPER SANDLER LTD.
Exempt reporting adviser

SEC file number

802-76331

Source date

March 24, 2026
PITANGO HEALTHTECH MANAGEMENT 2019 LTD.
Exempt reporting adviser

SEC file number

802-120961

Source date

March 31, 2026
PITANGO HEALTHTECH MC 2022 LTD
Exempt reporting adviser

SEC file number

802-130068

Source date

March 31, 2026
PITANGO INTERNATIONAL MC 2019 LTD.
Exempt reporting adviser

SEC file number

802-120963

Source date

March 31, 2026
PITANGO VENTURE MANAGEMENT MC 2016 LTD
Exempt reporting adviser

SEC file number

802-110530

Source date

March 31, 2026
PITANGO VENTURE MANAGEMENT MC 2022 LTD.
Exempt reporting adviser

SEC file number

802-132656

Source date

March 31, 2026
PITANGO VENTURE PARTNERS 2004 LTD.
Exempt reporting adviser

SEC file number

802-127865

Source date

March 31, 2026
PITANGO VENTURES INTERNATIONAL 2004 LTD.
Exempt reporting adviser

SEC file number

802-110529

Source date

March 31, 2026
PITCAIRN WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-131329

Source date

March 31, 2026
PITON INVESTMENT MANAGEMENT, LP
Investment adviser

SEC file number

801-107227

Source date

April 24, 2026
PITTENGER & ANDERSON INC
Investment adviser

SEC file number

801-49107

Source date

January 7, 2026
PITZL FINANCIAL, LLC
Investment adviser

SEC file number

801-113328

Source date

February 9, 2026
PIVOT CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-132725

Source date

June 9, 2026
PIVOT INVESTMENT PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-127030

Source date

March 31, 2026
PIVOT POINT ADVISORS, LLC
Investment adviser

SEC file number

801-129978

Source date

February 13, 2026
PIVOTAL ADVISORS LLC
Investment adviser

SEC file number

801-119532

Source date

March 31, 2026
PIVOTAL BIOVENTURE PARTNERS INVESTMENT ADVISOR LLC
Exempt reporting adviser

SEC file number

802-110211

Source date

June 25, 2026
PIVOTNORTH SERVICES LLC
Exempt reporting adviser

SEC file number

802-75306

Source date

July 2, 2026
PKS ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-62147

Source date

July 29, 2026
PKS INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-96235

Source date

March 27, 2026
PL CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-79328

Source date

May 5, 2026
PLACEHOLDER MANAGEMENT, LLC
Investment adviser

SEC file number

801-121845

Source date

February 26, 2026
PLAGENS & TAYLOR WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-132268

Source date

March 26, 2026
PLAINTEXT CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-129898

Source date

January 23, 2026
PLAINVIEW INVESTMENT MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-132885

Source date

March 19, 2026
PLAISANCE CAPITAL LLC
Exempt reporting adviser

SEC file number

802-111809

Source date

March 31, 2025
PLAN A WEALTH, LLC
Investment adviser

SEC file number

801-110113

Source date

March 10, 2026
PLAN CONFIDENCE CORPORATION
Investment adviser

SEC file number

801-107791

Source date

July 29, 2026
PLAN FIRST WEALTH LLC
Investment adviser

SEC file number

801-114931

Source date

May 13, 2026
PLAN GROUP FINANCIAL, INC.
Investment adviser

SEC file number

801-118599

Source date

April 6, 2026
PLAN LIFE & WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-112596

Source date

March 20, 2026
PLAN2THRIVE FINANCIAL, LLC
Investment adviser

SEC file number

801-132052

Source date

February 17, 2026
PLANCORP, LLC
Investment adviser

SEC file number

801-20398

Source date

September 10, 2026
PLANETEER CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-127788

Source date

March 30, 2026
PLANGUIDE FINANCIAL LLC
Investment adviser

SEC file number

801-135492

Source date

June 16, 2026
PLANMEMBER ASSET MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-111678

Source date

March 31, 2026
PLANMEMBER SECURITIES CORPORATION
Investment adviser

SEC file number

801-39177

Source date

September 17, 2026
PLANNED FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-110086

Source date

February 25, 2026
PLANNED SOLUTIONS FINANCIAL & INSURANCE SERVICES, INC.
Investment adviser

SEC file number

801-33162

Source date

April 2, 2026
PLANNING ALTERNATIVES LTD
Investment adviser

SEC file number

801-18310

Source date

August 7, 2026
PLANNING DIRECTIONS, INC.
Investment adviser

SEC file number

801-62686

Source date

February 12, 2026
PLANNING SOLUTIONS INTERNATIONAL LLC
Investment adviser

SEC file number

801-120648

Source date

March 30, 2026
PLANNING STRATEGIES, INC.
Investment adviser

SEC file number

801-112684

Source date

March 18, 2026
PLANNING WORKS ADVISORY, INC.
Investment adviser

SEC file number

801-123012

Source date

February 18, 2026
PLANPILOT, LLC
Investment adviser

SEC file number

801-73176

Source date

February 10, 2026
PLANROCK INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-118167

Source date

May 26, 2026
PLANTE MORAN FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-44058

Source date

July 29, 2026
PLANTE MORAN REAL ESTATE INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-127325

Source date

September 25, 2025
PLANVEST FINANCIAL, INC.
Investment adviser

SEC file number

801-131058

Source date

September 23, 2026
PLANVISION, LLC
Investment adviser

SEC file number

801-112729

Source date

August 11, 2026
PLANWISER FINANCIAL, LLC
Investment adviser

SEC file number

801-130873

Source date

September 4, 2026
PLATFORM ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-78135

Source date

June 4, 2026
PLATFORM INVESTMENTS, LLC
Investment adviser

SEC file number

801-72953

Source date

March 31, 2026
PLATFORM PARTNERS LLC
Investment adviser

SEC file number

801-110170

Source date

June 8, 2026
PLATFORM TECHNOLOGY PARTNERS LLC
Investment adviser

SEC file number

801-117439

Source date

March 31, 2026
PLATFORM WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129811

Source date

September 15, 2026
PLATINUM EQUITY ADVISORS, LLC
Investment adviser

SEC file number

801-73758

Source date

May 15, 2026
PLATO PLANNING, LLC
Investment adviser

SEC file number

801-135470

Source date

February 20, 2026
PLATT INVESTMENT COUNSEL, LLC
Investment adviser

SEC file number

801-112826

Source date

March 5, 2026
PLATT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113568

Source date

February 1, 2026
PLAY TIME SPORTS-TECH HOLDCO, LLC
Exempt reporting adviser

SEC file number

802-130335

Source date

March 24, 2026
PLAY VENTURES PTE LTD
Exempt reporting adviser

SEC file number

802-120972

Source date

March 25, 2026
PLAYGROUND GLOBAL, LLC
Exempt reporting adviser

SEC file number

802-100407

Source date

April 7, 2026
PLEASANT BAY CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-118585

Source date

March 25, 2026
PLEASANT LAKE PARTNERS LLC
Investment adviser

SEC file number

801-128498

Source date

August 28, 2026
PLEASANTDALE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-133982

Source date

April 1, 2026
PLEDGE VENTURES LTD
Exempt reporting adviser

SEC file number

802-130655

Source date

March 2, 2026
PLEIAD INVESTMENT ADVISORS LIMITED
Investment adviser

SEC file number

801-116989

Source date

March 31, 2026
PLENUS MANAGEMENT III 2007 LTD.
Exempt reporting adviser

SEC file number

802-76514

Source date

March 30, 2026
PLEXO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128283

Source date

March 31, 2026
PLEXUS CAPITAL, LLC
Investment adviser

SEC file number

801-126297

Source date

March 30, 2026
PLH FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-135498

Source date

April 24, 2026
PLINIAN CAPITAL LTD.
Exempt reporting adviser

SEC file number

802-106756

Source date

March 30, 2026
PLOTKIN FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-85168

Source date

March 27, 2026
PLUG AND PLAY FUND MANAGEMENT I, LLC
Exempt reporting adviser

SEC file number

802-126448

Source date

March 30, 2026
PLUIT CAPITAL SERVICES, LLC
Exempt reporting adviser

SEC file number

802-136314

Source date

June 25, 2026
PLUM ALLEY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-120937

Source date

March 20, 2026
PLUM STREET ADVISORS, LLC
Investment adviser

SEC file number

801-121901

Source date

June 10, 2026
PLURAL CAPITAL, L.L.C.
Exempt reporting adviser

SEC file number

802-130440

Source date

March 31, 2026
PLURAL FRANCE SAS
Exempt reporting adviser

SEC file number

802-136131

Source date

May 6, 2026
PLURAL UK MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-126077

Source date

March 31, 2026
PLUS CAPITAL MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-128254

Source date

March 30, 2026
PLUS GROUP WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-132046

Source date

February 3, 2026
PLUSCIOS MANAGEMENT LLC
Investment adviser

SEC file number

801-69256

Source date

March 26, 2026