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 68 of 95

PLUSTICK MANAGEMENT LLC
Investment adviser

SEC file number

801-114385

Source date

March 26, 2026
PLYMOUTH MANAGEMENT COMPANY
Exempt reporting adviser

SEC file number

802-75971

Source date

March 26, 2026
PM ADVISORS LTD.
Exempt reporting adviser

SEC file number

802-122804

Source date

March 11, 2026
PM MGMT, LP
Exempt reporting adviser

SEC file number

802-134239

Source date

March 30, 2026
PMC FIG OPPORTUNITIES LLC
Exempt reporting adviser

SEC file number

802-122805

Source date

March 11, 2026
PMC SPORTS, LLC
Exempt reporting adviser

SEC file number

802-134782

Source date

February 18, 2026
PMC WEALTH, LLC
Investment adviser

SEC file number

801-134265

Source date

September 22, 2026
PMG FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-130947

Source date

June 5, 2026
PMG WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-122740

Source date

May 13, 2026
PMV CAPITAL ADVISERS, LLC
Investment adviser

SEC file number

801-126826

Source date

March 31, 2026
PNC CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-70684

Source date

March 27, 2026
PNC STEEL CITY ADVISORS, LLC
Investment adviser

SEC file number

801-80567

Source date

May 15, 2026
PNC TC, LLC
Investment adviser

SEC file number

801-80546

Source date

June 8, 2026
PNC WEALTH MANAGEMENT
Investment adviser

SEC file number

801-66195

Source date

September 14, 2026
PNP SCALE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-115233

Source date

April 30, 2026
PNT ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134178

Source date

August 6, 2026
PO&G ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-107817

Source date

March 4, 2026
PODELL FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-127920

Source date

March 24, 2026
POEHLING CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-63189

Source date

February 10, 2026
POET ADVISORS LLC
Exempt reporting adviser

SEC file number

802-127091

Source date

March 18, 2026
POETIC GROUP LLC
Investment adviser

SEC file number

801-117375

Source date

June 2, 2026
POINCIANA ADVISORS GROUP, LLC
Investment adviser

SEC file number

801-118568

Source date

March 24, 2026
POINT 41 CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-136873

Source date

June 26, 2026
POINT ALLERTON LLC
Exempt reporting adviser

SEC file number

802-132216

Source date

March 9, 2026
POINT B PLANNING, LLC
Investment adviser

SEC file number

801-118588

Source date

March 30, 2026
POINT BREAK CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-76892

Source date

May 8, 2026
POINT BRIDGE CAPITAL, LLC
Investment adviser

SEC file number

801-78217

Source date

March 26, 2026
POINT HOPE PTE LTD
Exempt reporting adviser

SEC file number

802-121174

Source date

October 2, 2025
POINT JUDITH MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-75141

Source date

March 19, 2026
POINT NEMO CAPITAL, LLC
Investment adviser

SEC file number

801-135341

Source date

August 26, 2026
POINT NINE MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-117897

Source date

March 26, 2026
POINT NINE MANAGEMENT II GMBH
Exempt reporting adviser

SEC file number

802-126152

Source date

March 26, 2026
POINT OLEMA CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-116966

Source date

July 31, 2026
POINT ONE PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-137318

Source date

August 22, 2026
POINT WINDWARD ADVISORS, INC.
Investment adviser

SEC file number

801-31503

Source date

June 2, 2026
POINT72 ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-107348

Source date

August 14, 2026
POINTE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-70983

Source date

March 31, 2026
POINTER FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-128061

Source date

March 25, 2026
POINTER MANAGEMENT, LLC
Investment adviser

SEC file number

801-73887

Source date

March 27, 2026
POINTER.CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-121829

Source date

March 14, 2026
POINTGUARD MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-79522

Source date

March 30, 2026
POINTOAK RETIREMENT ADVISORS, LLC
Investment adviser

SEC file number

801-122008

Source date

March 4, 2026
POINTONE FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-134522

Source date

April 10, 2026
POINTSTATE CAPITAL LP
Investment adviser

SEC file number

801-74127

Source date

May 18, 2026
POKET FINANCIAL, LLC
Investment adviser

SEC file number

801-96260

Source date

April 3, 2026
POLAR ASSET MANAGEMENT PARTNERS INC.
Investment adviser

SEC file number

801-120867

Source date

June 29, 2026
POLAR CAPITAL (AMERICA) CORPORATION
Investment adviser

SEC file number

801-71922

Source date

June 25, 2026
POLAR CAPITAL LLP
Investment adviser

SEC file number

801-64644

Source date

June 25, 2026
POLARIS ALPHA
Exempt reporting adviser

SEC file number

802-137149

Source date

July 23, 2026
POLARIS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-43216

Source date

January 30, 2026
POLARIS CG SINGAPORE PTE. LTD.
Exempt reporting adviser

SEC file number

802-78898

Source date

March 31, 2026
POLARIS FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-132733

Source date

April 8, 2026
POLARIS FINANCIAL PLANNING, LLC.
Investment adviser

SEC file number

801-126129

Source date

January 6, 2026
POLARIS FINANCIAL, LLC
Investment adviser

SEC file number

801-107177

Source date

March 31, 2026
POLARIS GROWTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113566

Source date

July 10, 2026
POLARIS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-127125

Source date

January 30, 2026
POLARIS7 INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-114141

Source date

June 30, 2026
POLEN CAPITAL CLO MANAGEMENT, LLC
Investment adviser

SEC file number

801-129899

Source date

March 26, 2026
POLEN CAPITAL CREDIT, LLC
Investment adviser

SEC file number

801-55001

Source date

May 4, 2026
POLEN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-15180

Source date

May 4, 2026
POLEN INTERNATIONAL EQUITY LLC
Investment adviser

SEC file number

801-135446

Source date

January 29, 2026
POLERO ICE ADVISERS
Investment adviser

SEC file number

801-135274

Source date

February 19, 2026
POLITAN CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-122191

Source date

March 30, 2026
POLLEN STREET CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-80072

Source date

April 13, 2026
POLLOCK INVESTMENT ADVISORY CORPORATION
Investment adviser

SEC file number

801-85174

Source date

March 19, 2026
POLLOCK PLANNING ASSOCIATES, INC.
Investment adviser

SEC file number

801-27115

Source date

February 13, 2026
POLOIDAL CAPITAL 9D ADVISORS LLC
Investment adviser

SEC file number

801-136779

Source date

July 14, 2026
POLPO CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127255

Source date

March 23, 2026
POLUNIN CAPITAL PARTNERS LIMITED
Investment adviser

SEC file number

801-72772

Source date

March 30, 2026
POLUS CAPITAL MANAGEMENT (US) INC.
Investment adviser

SEC file number

801-129156

Source date

March 31, 2026
POLUS CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-66019

Source date

March 31, 2026
POLYCHAIN CAPITAL LP
Investment adviser

SEC file number

801-112665

Source date

March 28, 2026
POLYINVEST GROUP LLC
Exempt reporting adviser

SEC file number

802-136516

Source date

May 18, 2026
POLYMER CAPITAL JAPAN LIMITED
Exempt reporting adviser

SEC file number

802-132570

Source date

March 30, 2026
POLYMER CAPITAL MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-118884

Source date

March 30, 2026
POLYMER CAPITAL MANAGEMENT (US), LLC
Investment adviser

SEC file number

801-126226

Source date

March 30, 2026
POLYMER CAPITAL SINGAPORE PTE LTD
Exempt reporting adviser

SEC file number

802-132571

Source date

March 30, 2026
POLYNOMIAL PARTNERS (SG) PTE. LTD.
Exempt reporting adviser

SEC file number

802-134934

Source date

August 24, 2026
POLYTOPE RESEARCH LLC
Exempt reporting adviser

SEC file number

802-132155

Source date

March 30, 2026
POM INVESTMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-122681

Source date

September 25, 2026
POM WEALTH MANAGEMENT US LLC
Investment adviser

SEC file number

801-129670

Source date

March 10, 2026
POMONA MANAGEMENT LLC
Investment adviser

SEC file number

801-69755

Source date

March 31, 2026
POMONA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129338

Source date

March 31, 2026
POMP INVESTMENTS, LLC
Exempt reporting adviser

SEC file number

802-135522

Source date

February 8, 2026
POND IMAGE CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-120936

Source date

March 25, 2026
PONDERA HOLDINGS LLC
Investment adviser

SEC file number

801-130829

Source date

May 21, 2026
PONTA WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-132915

Source date

September 4, 2026
PONTE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-131026

Source date

March 31, 2026
PONTEM INVESTMENT MANAGEMENT COMPANY
Investment adviser

SEC file number

801-136892

Source date

August 12, 2026
POP VENTURE ADVISERS LLC
Investment adviser

SEC file number

801-135145

Source date

August 24, 2026
POPE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-60556

Source date

March 27, 2026
POPHOUSE INVESTMENT ADVISOR AB
Exempt reporting adviser

SEC file number

802-130474

Source date

April 1, 2026
POPLAR POINT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-132514

Source date

May 11, 2026
POPULAR ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-120872

Source date

September 25, 2026
POPULAR SECURITIES, LLC
Investment adviser

SEC file number

801-57928

Source date

March 31, 2026
PORT CAPITAL LLC
Investment adviser

SEC file number

801-96218

Source date

February 19, 2026
PORT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135850

Source date

March 13, 2026
PORT STREET INVESTMENTS, LLC
Investment adviser

SEC file number

801-78708

Source date

May 11, 2026
PORTAGE WEALTH INC
Investment adviser

SEC file number

801-135315

Source date

May 1, 2026
PORTAL VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-127548

Source date

March 30, 2026
PORTER WHITE INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-48755

Source date

April 10, 2026
PORTFOLIA VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-122724

Source date

March 27, 2026
PORTFOLIO ADVISORS LLC
Investment adviser

SEC file number

801-46369

Source date

March 27, 2026
PORTFOLIO ADVISORS, INC.
Investment adviser

SEC file number

801-38220

Source date

March 10, 2026
PORTFOLIO ADVISORY COUNCIL, L.L.C.
Investment adviser

SEC file number

801-27691

Source date

March 11, 2026
PORTFOLIO ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-135985

Source date

March 27, 2026
PORTFOLIO ADVISORY PARTNERS LLC
Investment adviser

SEC file number

801-135332

Source date

September 17, 2026
PORTFOLIO DESIGN LABS, LLC
Investment adviser

SEC file number

801-127598

Source date

May 11, 2026
PORTFOLIO DESIGN SERVICES, LLC
Investment adviser

SEC file number

801-80561

Source date

March 2, 2026
PORTFOLIO MANAGEMENT, LLC
Investment adviser

SEC file number

801-42052

Source date

March 25, 2026
PORTFOLIO MEDICS, LLC
Investment adviser

SEC file number

801-113846

Source date

September 14, 2026
PORTFOLIO POINT OF VIEW LLC
Investment adviser

SEC file number

801-136424

Source date

September 25, 2026
PORTFOLIO RESOURCES ADVISOR GROUP, INC.
Investment adviser

SEC file number

801-111808

Source date

October 17, 2025
PORTFOLIO STRATEGIES INC
Investment adviser

SEC file number

801-18475

Source date

September 25, 2026
PORTFOLIO STRATEGIES INC NY
Investment adviser

SEC file number

801-45798

Source date

April 6, 2026
PORTFOLIO THINKTANK
Investment adviser

SEC file number

801-117700

Source date

April 1, 2026
PORTFOLIO, LLC
Investment adviser

SEC file number

801-68615

Source date

January 7, 2026
PORTION CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-128036

Source date

March 26, 2026
PORTLAND FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-115289

Source date

April 1, 2026
PORTLAND GLOBAL ADVISORS LLC
Investment adviser

SEC file number

801-54256

Source date

March 26, 2026
PORTLAND PRIVATE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-118362

Source date

June 4, 2026
PORTMAN SQUARE CAPITAL LLP
Investment adviser

SEC file number

801-126696

Source date

May 14, 2026
PORTOLAN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73963

Source date

April 15, 2026
PORTRAIT CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-128951

Source date

May 6, 2026
PORTSIDE WEALTH GROUP, LLC
Investment adviser

SEC file number

801-127529

Source date

August 19, 2026
PORTUS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-120811

Source date

February 27, 2026
POSITION WEALTH LLC
Investment adviser

SEC file number

801-127393

Source date

July 28, 2026
POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-130494

Source date

March 26, 2026
POSITIVE SUM ADVISORS LLC
Exempt reporting adviser

SEC file number

802-127156

Source date

March 27, 2026
POSSIBILIAN VENTURES, LP
Exempt reporting adviser

SEC file number

802-127738

Source date

February 8, 2026
POST ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-57939

Source date

May 5, 2026
POST CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-88196

Source date

March 27, 2026
POST OAK ENERGY CAPITAL, LP
Exempt reporting adviser

SEC file number

802-75489

Source date

March 26, 2026
POST RESCH TALLON GROUP, INC.
Investment adviser

SEC file number

801-73147

Source date

March 27, 2026
POST ROAD GROUP LLC
Investment adviser

SEC file number

801-110674

Source date

June 22, 2026
POSTROCK PARTNERS LLC
Investment adviser

SEC file number

801-129138

Source date

May 5, 2026
POTENTIA CAPITAL PTY LTD
Exempt reporting adviser

SEC file number

802-122342

Source date

September 17, 2025
POTENTIA RIA, LLC
Investment adviser

SEC file number

801-129366

Source date

March 31, 2026
POTENTUM PARTNERS, L.P.
Investment adviser

SEC file number

801-119857

Source date

March 31, 2026
POTOMAC CAPITAL MANAGEMENT INC.
Exempt reporting adviser

SEC file number

802-76134

Source date

March 18, 2026
POTOMAC FUND MANAGEMENT INC
Investment adviser

SEC file number

801-31311

Source date

May 27, 2026
POTOMAC INVESTMENT COMPANY
Investment adviser

SEC file number

801-135351

Source date

August 20, 2026
POTRERO CAPITAL RESEARCH, LLC
Investment adviser

SEC file number

801-108045

Source date

March 27, 2026
POULOS ADVISORS, INC.
Investment adviser

SEC file number

801-133746

Source date

February 5, 2026
POWELL FINANCIAL, INC.
Investment adviser

SEC file number

801-88185

Source date

February 13, 2026
POWELL INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-74420

Source date

March 9, 2026
POWER ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-62399

Source date

March 24, 2026
POWER FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-127238

Source date

February 12, 2026
POWER INNOVATION PARTNERS, L.P.
Investment adviser

SEC file number

801-130629

Source date

June 18, 2026
POWER OF 32 SITE DEVELOPMENT FUND, LLC
Exempt reporting adviser

SEC file number

802-80834

Source date

May 11, 2026
POWER SUSTAINABLE MANAGER US, INC.
Investment adviser

SEC file number

801-128020

Source date

March 30, 2026
POWER WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-127940

Source date

September 14, 2026
POWERHOUSE ASSETS LLC
Investment adviser

SEC file number

801-119017

Source date

March 17, 2026
POWERHOUSE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-120243

Source date

June 30, 2026
POWERHOUSE FINANCIAL ADVISORS, INC.
Investment adviser

SEC file number

801-137068

Source date

September 10, 2026
POWERHOUSE VC PTE. LTD.
Exempt reporting adviser

SEC file number

802-135329

Source date

August 28, 2026
POWERHOUSE VENTURES MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-128030

Source date

March 31, 2026
POWERLAW FUND ADVISER, LLC
Investment adviser

SEC file number

801-134282

Source date

April 30, 2026
POWERS ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-121109

Source date

June 24, 2026
POWERS INVESTMENT ADVISORY CORPORATION
Investment adviser

SEC file number

801-134997

Source date

January 6, 2026
PP PORTFOLIO MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-128068

Source date

March 31, 2026
PPB ADVISORS, LLC
Investment adviser

SEC file number

801-96194

Source date

March 23, 2026
PPC ENTERPRISES LLC
Investment adviser

SEC file number

801-79346

Source date

March 30, 2026
PPC INVESTMENT PARTNERS LP
Investment adviser

SEC file number

801-112562

Source date

July 28, 2026
PPM AMERICA, INC.
Investment adviser

SEC file number

801-40783

Source date

May 29, 2026
PPM LOAN MANAGEMENT COMPANY 2, LLC
Investment adviser

SEC file number

801-113539

Source date

August 5, 2026
PPS & V ASSET MANAGEMENT CONSULTANTS INC
Investment adviser

SEC file number

801-40057

Source date

December 15, 2025
PPSGRP LLC
Investment adviser

SEC file number

801-135208

Source date

August 7, 2026
PR MORTGAGE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-120925

Source date

March 24, 2026
PR WEALTH MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-122276

Source date

March 6, 2026
PRACTICAL VC INVESTMENT ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-122328

Source date

March 6, 2026
PRAESIDIUM INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-66042

Source date

March 24, 2026
PRAETORIAN PR LLC
Investment adviser

SEC file number

801-126885

Source date

March 25, 2026
PRAETORIAN WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-69431

Source date

January 9, 2026
PRAGMATECH VENTURE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-137095

Source date

July 15, 2026
PRAGMATYA TECHNOLOGIES LTD.
Exempt reporting adviser

SEC file number

802-131578

Source date

March 31, 2026
PRAIRIE ADVISORY, LLC
Investment adviser

SEC file number

801-135253

Source date

August 26, 2026
PRAIRIE CAPITAL MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-119958

Source date

March 31, 2026
PRAIRIE MANAGEMENT COMPANY, L.P.
Investment adviser

SEC file number

801-73334

Source date

September 17, 2026
PRAIRIE RIVERS INVESTMENTS, LLC
Investment adviser

SEC file number

801-110719

Source date

March 30, 2026
PRAIRIE VIEW WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-135790

Source date

August 6, 2026
PRAIRIE WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-77062

Source date

July 28, 2026
PRAIRIEVIEW WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-128680

Source date

April 30, 2026
PRAIRIEWOOD CAPITAL, LLC
Investment adviser

SEC file number

801-118221

Source date

June 30, 2026
PRANA CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-110187

Source date

March 25, 2026
PRANA REAL ESTATE FINANCE LLC
Exempt reporting adviser

SEC file number

802-77268

Source date

March 26, 2026
PRASAD WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-130984

Source date

July 7, 2026
PRATO CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-111842

Source date

March 2, 2026
PRAVATI CAPITAL LLC
Investment adviser

SEC file number

801-121788

Source date

April 7, 2026
PRAXIS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-134651

Source date

March 23, 2026
PRAXIS INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-36323

Source date

March 23, 2026
PRAXIS VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126946

Source date

March 12, 2026
PRCE MANAGEMENT LLC
Investment adviser

SEC file number

801-122233

Source date

March 31, 2026
PRECEDENT ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-135830

Source date

April 14, 2026
PRECEDENT WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-127678

Source date

September 16, 2026
PRECEPT MANAGEMENT, LLC
Investment adviser

SEC file number

801-66256

Source date

July 1, 2026
PRECIDIAN FUNDS LLC
Investment adviser

SEC file number

801-130456

Source date

January 7, 2026
PRECISE INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-124750

Source date

February 4, 2026
PRECISION CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-73913

Source date

May 26, 2026
PRECISION FIDUCIARY PARTNERS, LLC
Investment adviser

SEC file number

801-78809

Source date

July 10, 2026
PRECISION WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-114482

Source date

May 1, 2026
PRECURSOR VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118417

Source date

March 31, 2026
PREFERENCE CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-136095

Source date

March 31, 2026
PREFERRED CAPITAL FUND MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136125

Source date

March 31, 2026
PREISZ ASSOCIATES, INC.
Investment adviser

SEC file number

801-115031

Source date

March 27, 2026
PRELUDE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73598

Source date

March 31, 2026
PRELUDE GROWTH PARTNERS MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-132991

Source date

March 31, 2026
PRELUDE INVESTMENT SERVICES LLC
Investment adviser

SEC file number

801-134769

Source date

April 24, 2026
PREMIA GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-107142

Source date

September 2, 2026
PREMIER ESTATE PLANNERS, LLC
Investment adviser

SEC file number

801-68487

Source date

February 9, 2026
PREMIER FINANCIAL GROUP INC
Investment adviser

SEC file number

801-38364

Source date

March 2, 2026
PREMIER FUND MANAGERS LIMITED
Exempt reporting adviser

SEC file number

802-134839

Source date

March 20, 2026
PREMIER GOLD GLOBAL WEALTH LLC
Investment adviser

SEC file number

801-80349

Source date

April 1, 2026
PREMIER INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-137002

Source date

September 21, 2026
PREMIER PATH WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-127703

Source date

May 15, 2026
PREMIER PRIVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130602

Source date

February 24, 2026
PREMIER WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-114445

Source date

February 6, 2026
PREMIER WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-78204

Source date

March 27, 2026
PREMIS ADVISORS, LLC
Investment adviser

SEC file number

801-113471

Source date

August 14, 2026
PREMISE VENTURE PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-135639

Source date

February 20, 2026
PREMIUM 72 CAPITAL, LLC
Investment adviser

SEC file number

801-120279

Source date

March 9, 2026
PRENTICE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-113244

Source date

March 31, 2026
PRENTICE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-76490

Source date

May 26, 2026
PRENTISS SMITH & COMPANY, INC.
Investment adviser

SEC file number

801-17579

Source date

June 18, 2026
PREP INVESTMENT ADVISERS, L.L.C.
Investment adviser

SEC file number

801-126231

Source date

March 31, 2026
PREPARED RETIREMENT INSTITUTE LLC
Investment adviser

SEC file number

801-122432

Source date

May 1, 2026
PREPUBLIC EQUITY PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-135047

Source date

March 27, 2026
PRESCIENT CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118887

Source date

March 25, 2026
PRESCOTT ADVISORS, LLC
Investment adviser

SEC file number

801-111817

Source date

March 24, 2026
PRESCOTT GENERAL PARTNERS LLC
Investment adviser

SEC file number

801-73464

Source date

March 27, 2026
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-60650

Source date

March 27, 2026
PRESERVATION CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-129198

Source date

March 31, 2026
PRESERVATION EQUITY FUND ADVISORS, LLC
Investment adviser

SEC file number

801-124859

Source date

March 23, 2026
PRESERVATION FUND MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-76500

Source date

February 2, 2026
PRESERVER PARTNERS LLC
Investment adviser

SEC file number

801-106636

Source date

March 25, 2026
PRESIDIO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-123239

Source date

March 3, 2026
PRESIDIO INVESTORS LLC
Investment adviser

SEC file number

801-119355

Source date

March 30, 2026
PRESIDIO PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-115163

Source date

March 31, 2026
PRESIGHT CAPITAL LTD
Exempt reporting adviser

SEC file number

802-118871

Source date

March 31, 2026
PRESIGHT MANAGEMENT COMPANY, L.L.C.
Exempt reporting adviser

SEC file number

802-121352

Source date

March 31, 2026
PRESILIUM PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-123460

Source date

July 16, 2026
PRESPER FINANCIAL ARCHITECTS, LLC
Investment adviser

SEC file number

801-113773

Source date

September 14, 2026
PRESSTIGE GLOBAL VENTURES LLC
Exempt reporting adviser

SEC file number

802-132939

Source date

August 22, 2025
PRESTIGE WEALTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-72627

Source date

March 10, 2026
PRESTIGE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-132868

Source date

June 23, 2026
PRESTIGE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-136624

Source date

July 16, 2026
PRESTIGE WEALTH SERVICES GROUP, INC.
Investment adviser

SEC file number

801-77623

Source date

March 9, 2026
PRESTIGE WEALTHWIDE, LLC
Investment adviser

SEC file number

801-125937

Source date

January 15, 2026
PRESTON ADVISORY SERVICES LLC
Investment adviser

SEC file number

801-132449

Source date

May 25, 2026
PRESTON CAPITAL LLC
Investment adviser

SEC file number

801-128923

Source date

June 1, 2026