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 69 of 95

PRESTON F. SANDERS, CHFC, LLC
Investment adviser

SEC file number

801-129881

Source date

March 23, 2026
PRESTON WEALTH ADVISORS, LLC.
Investment adviser

SEC file number

801-81195

Source date

March 24, 2026
PRETIUM CREDIT MANAGEMENT, LLC
Investment adviser

SEC file number

801-71699

Source date

May 7, 2026
PRETIUM RESIDENTIAL CREDIT MANAGEMENT, LLC
Investment adviser

SEC file number

801-79924

Source date

August 27, 2026
PRETIUM SINGLE-FAMILY RENTAL MANAGER III, LLC
Investment adviser

SEC file number

801-120295

Source date

May 7, 2026
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-123758

Source date

April 28, 2026
PREVAIL WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-122532

Source date

March 30, 2026
PREVATT CAPITAL LTD
Investment adviser

SEC file number

801-120392

Source date

March 18, 2026
PREVE INVERSIONES
Investment adviser

SEC file number

801-123409

Source date

May 20, 2026
PRICAP ADVISORS LLC
Investment adviser

SEC file number

801-73218

Source date

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

SEC file number

801-73195

Source date

March 4, 2026
PRICE FINANCIAL GROUP WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-126661

Source date

April 2, 2026
PRIDEROCK FUND MANAGEMENT PARTNERS, LLC
Investment adviser

SEC file number

801-114267

Source date

March 30, 2026
PRIDES CROSSING CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-78031

Source date

April 21, 2026
PRIEN ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-128547

Source date

March 24, 2026
PRIMAL DAO ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-132780

Source date

May 7, 2025
PRIMARK ADVISORS, LLC
Investment adviser

SEC file number

801-119013

Source date

August 7, 2026
PRIMARY CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-75047

Source date

May 20, 2026
PRIMARY OPERATIONS INC
Investment adviser

SEC file number

801-133884

Source date

March 19, 2026
PRIMARY VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75421

Source date

March 26, 2026
PRIMARY WAVE IP INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-111060

Source date

May 6, 2026
PRIMARY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-131623

Source date

February 13, 2026
PRIMAS ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-131450

Source date

March 26, 2026
PRIMAVERA CAPITAL MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-76417

Source date

March 30, 2026
PRIMAVERA VENTURE MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-122350

Source date

March 30, 2026
PRIME BUCHHOLZ LLC
Investment adviser

SEC file number

801-37429

Source date

September 11, 2026
PRIME CAPITAL AG
Exempt reporting adviser

SEC file number

802-126174

Source date

March 26, 2026
PRIME CAPITAL INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-110709

Source date

June 1, 2026
PRIME CAPITAL MANAGEMENT COMPANY LIMITED
Exempt reporting adviser

SEC file number

802-131238

Source date

March 26, 2026
PRIME FINANCE ADVISOR, L.P.
Investment adviser

SEC file number

801-73438

Source date

May 19, 2026
PRIME MANAGEMENT COMPANY I, LLC
Exempt reporting adviser

SEC file number

802-115186

Source date

March 25, 2026
PRIME MANAGEMENT PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-135229

Source date

March 31, 2026
PRIME MERIDIAN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-110964

Source date

March 24, 2026
PRIME MOVERS LAB LLC
Exempt reporting adviser

SEC file number

802-114683

Source date

March 17, 2026
PRIME QUADRANT US, LLC
Investment adviser

SEC file number

801-126068

Source date

September 21, 2026
PRIME RADIANT MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137104

Source date

July 16, 2026
PRIMECAP MANAGEMENT CO
Investment adviser

SEC file number

801-19765

Source date

July 29, 2026
PRIMER MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132602

Source date

March 30, 2026
PRIMESOLUTIONS ADVISORS, LLC
Investment adviser

SEC file number

801-60028

Source date

March 19, 2026
PRIME-STAR ENTERPRISES, LLC
Exempt reporting adviser

SEC file number

802-110140

Source date

March 19, 2026
PRIMESTONE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-80890

Source date

August 6, 2026
PRIMESTOR INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-128443

Source date

May 14, 2026
PRIMETECH VENTURES LLC
Exempt reporting adviser

SEC file number

802-112286

Source date

March 2, 2026
PRIMETIME PARTNERS MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-119592

Source date

March 17, 2026
PRIMETRUST ADVISORS LLC
Investment adviser

SEC file number

801-68762

Source date

March 23, 2026
PRIMM & CO INC
Investment adviser

SEC file number

801-29455

Source date

January 20, 2026
PRIMORIS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-119740

Source date

March 10, 2026
PRIMUS CAPITAL PARTNERS, INC.
Investment adviser

SEC file number

801-73471

Source date

March 13, 2026
PRINCE ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-130425

Source date

March 20, 2026
PRINCETON CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-60470

Source date

April 8, 2026
PRINCETON EQUITY ADVISORS, LP
Investment adviser

SEC file number

801-121932

Source date

March 30, 2026
PRINCETON FUND ADVISORS, LLC
Investment adviser

SEC file number

801-72525

Source date

March 31, 2026
PRINCETON GLOBAL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-71305

Source date

March 24, 2026
PRINCETON VALUE PARTNERS LLC
Investment adviser

SEC file number

801-131270

Source date

March 4, 2026
PRINCEVILLE CAPITAL
Exempt reporting adviser

SEC file number

802-113666

Source date

April 1, 2026
PRINCIPA CAPITAL LLP
Exempt reporting adviser

SEC file number

802-122382

Source date

March 31, 2026
PRINCIPAL ADVISED SERVICES, LLC
Investment adviser

SEC file number

801-114432

Source date

July 10, 2026
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED
Investment adviser

SEC file number

801-126155

Source date

March 31, 2026
PRINCIPAL GLOBAL INVESTORS, LLC
Investment adviser

SEC file number

801-55959

Source date

May 28, 2026
PRINCIPAL REAL ESTATE INVESTORS, LLC
Investment adviser

SEC file number

801-55618

Source date

August 19, 2026
PRINCIPAL SECURITIES, INC.
Investment adviser

SEC file number

801-54949

Source date

March 30, 2026
PRINCIPAL VP MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-131699

Source date

April 1, 2026
PRINCIPIA GLOBAL CAPITAL LLC
Exempt reporting adviser

SEC file number

802-135720

Source date

February 27, 2026
PRINCIPIA WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-127042

Source date

March 31, 2026
PRINCIPIUM INVESTMENTS LLC
Investment adviser

SEC file number

801-61768

Source date

March 26, 2026
PRINCIPLE CAPITAL ADVISORS LIMITED
Exempt reporting adviser

SEC file number

802-129240

Source date

March 27, 2026
PRINCIPLE WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-111911

Source date

August 7, 2026
PRINCIPLED ADVISORS, INC.
Investment adviser

SEC file number

801-126718

Source date

March 31, 2026
PRINCIPLED WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136333

Source date

June 22, 2026
PRINCIPLY, INC.
Investment adviser

SEC file number

801-106798

Source date

March 31, 2026
PRING/TURNER CAPITAL GROUP, INC.
Investment adviser

SEC file number

801-12851

Source date

September 26, 2025
PRINTERS ROW ADVISORS LLC
Exempt reporting adviser

SEC file number

802-80340

Source date

March 27, 2026
PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLC
Investment adviser

SEC file number

801-77270

Source date

March 25, 2026
PRISM ADVISORS, INC.
Investment adviser

SEC file number

801-110196

Source date

March 12, 2026
PRISM PLANNING PARTNERS, LLC
Investment adviser

SEC file number

801-123514

Source date

March 2, 2026
PRISMA CAPITAL HOLDING LLC
Exempt reporting adviser

SEC file number

802-125807

Source date

March 30, 2026
PRISMA CAPITAL LTDA
Exempt reporting adviser

SEC file number

802-115306

Source date

March 30, 2026
PRITZKER ALTERNATIVE STRATEGIES LP
Investment adviser

SEC file number

801-133978

Source date

August 13, 2026
PRIVACORE CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-130552

Source date

July 30, 2026
PRIVATE ADVISOR GROUP, LLC
Investment adviser

SEC file number

801-72060

Source date

September 24, 2026
PRIVATE ADVISOR NETWORK, LLC
Investment adviser

SEC file number

801-114371

Source date

March 31, 2026
PRIVATE ADVISORY GROUP LLC
Investment adviser

SEC file number

801-79100

Source date

August 18, 2026
PRIVATE ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-52507

Source date

April 30, 2026
PRIVATE CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-61877

Source date

March 30, 2026
PRIVATE CAPITAL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-123413

Source date

March 30, 2026
PRIVATE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-78615

Source date

March 26, 2026
PRIVATE CAPITAL STRATEGIES, LLC
Exempt reporting adviser

SEC file number

802-122998

Source date

April 10, 2026
PRIVATE CLIENT ADVISOR GROUP, LLC
Investment adviser

SEC file number

801-134899

Source date

August 1, 2026
PRIVATE CLIENT ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-74655

Source date

April 16, 2026
PRIVATE CLIENT SERVICES, LLC
Investment adviser

SEC file number

801-71475

Source date

March 14, 2026
PRIVATE COUNSEL GROUP, LTD.
Investment adviser

SEC file number

801-135690

Source date

February 25, 2026
PRIVATE EQUITY (THAILAND) CO., LTD.
Exempt reporting adviser

SEC file number

802-135963

Source date

March 25, 2026
PRIVATE EQUITY INVESTORS, INC
Investment adviser

SEC file number

801-73490

Source date

March 27, 2026
PRIVATE FINANCIAL MANAGEMENT LLC
Investment adviser

SEC file number

801-129838

Source date

June 18, 2026
PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.
Investment adviser

SEC file number

801-69044

Source date

March 27, 2026
PRIVATE INVESTOR CLUB LLC
Investment adviser

SEC file number

801-120018

Source date

September 2, 2026
PRIVATE LANE CAPITAL, LLC
Investment adviser

SEC file number

801-136114

Source date

September 9, 2026
PRIVATE MANAGEMENT GROUP INC
Investment adviser

SEC file number

801-28023

Source date

July 31, 2026
PRIVATE PORTFOLIOS, INC.
Investment adviser

SEC file number

801-110209

Source date

September 2, 2026
PRIVATE VALUE MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-75397

Source date

January 23, 2026
PRIVATE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-68605

Source date

March 20, 2026
PRIVATE WEALTH ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-122065

Source date

September 23, 2026
PRIVATE WEALTH CONSULTING, LLC
Investment adviser

SEC file number

801-135001

Source date

May 11, 2026
PRIVATE WEALTH GROUP, LLC
Investment adviser

SEC file number

801-67745

Source date

September 21, 2026
PRIVATE WEALTH MANAGEMENT GROUP LLC
Investment adviser

SEC file number

801-77565

Source date

March 25, 2026
PRIVATE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-134813

Source date

March 3, 2026
PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
Investment adviser

SEC file number

801-108507

Source date

March 17, 2026
PRIVATE WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-61214

Source date

March 13, 2026
PRIVATE WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-63808

Source date

March 27, 2026
PRIVATE WEALTH SOLUTIONS, LLC
Investment adviser

SEC file number

801-111072

Source date

February 17, 2026
PRIVEQ ADVISORY VI AB
Exempt reporting adviser

SEC file number

802-119540

Source date

April 1, 2026
PRIVEQ ADVISORY VII AB
Exempt reporting adviser

SEC file number

802-130934

Source date

April 1, 2026
PROA CAPITAL DE INVERSIONES SGEIC, S.A.
Exempt reporting adviser

SEC file number

802-126173

Source date

February 18, 2026
PROACTIVE CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-128137

Source date

January 22, 2026
PROACTIVE WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-123491

Source date

July 9, 2026
PROALTUS USA INC.
Investment adviser

SEC file number

801-119784

Source date

July 8, 2026
PROATHLETE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-123310

Source date

May 22, 2026
PROBITY ADVISORS, INC.
Investment adviser

SEC file number

801-61430

Source date

March 27, 2026
PROCESSUS WEALTH & CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-119425

Source date

January 26, 2026
PROCORE ADVISORS, LLC
Investment adviser

SEC file number

801-132902

Source date

July 30, 2026
PROCOURSE FIDUCIARY ADVISORS, LLC
Investment adviser

SEC file number

801-76741

Source date

March 23, 2026
PROCTOR FINANCIAL, INC.
Investment adviser

SEC file number

801-61596

Source date

March 31, 2026
PROCUREAM LLC
Investment adviser

SEC file number

801-114640

Source date

January 26, 2026
PROCURITAS CAPITAL INVESTORS VI HOLDING AB
Exempt reporting adviser

SEC file number

802-108567

Source date

March 31, 2026
PROCURITAS VII ADVISORY AB
Exempt reporting adviser

SEC file number

802-127651

Source date

March 31, 2026
PROCYON ADVISORS, LLC
Investment adviser

SEC file number

801-110493

Source date

July 28, 2026
PRODIGY ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-43337

Source date

June 25, 2026
PRODUCT HUNT, INC.
Exempt reporting adviser

SEC file number

802-127226

Source date

March 25, 2026
PROEM ADVISORS LLC
Investment adviser

SEC file number

801-131691

Source date

March 31, 2026
PROFESSIONAL ADVISORY SERVICES INC
Investment adviser

SEC file number

801-14090

Source date

March 27, 2026
PROFESSIONAL FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-38963

Source date

March 3, 2026
PROFESSIONAL FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-114978

Source date

June 24, 2026
PROFESSIONAL FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-132539

Source date

March 15, 2026
PROFESSIONAL FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-135207

Source date

March 18, 2026
PROFESSIONAL FINANCIAL SOLUTIONS, LLC
Investment adviser

SEC file number

801-106802

Source date

February 6, 2026
PROFESSIONAL FINANCIAL STRATEGIES, INC
Investment adviser

SEC file number

801-107130

Source date

April 14, 2026
PROFESSIONAL PLANNING & WEALTH, LLC
Investment adviser

SEC file number

801-137303

Source date

September 15, 2026
PROFESSIONAL TRADING SERVICES BROKERAGE, LLC
Investment adviser

SEC file number

801-136814

Source date

August 13, 2026
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
Investment adviser

SEC file number

801-123592

Source date

January 30, 2026
PROFFITT & GOODSON INC.
Investment adviser

SEC file number

801-28292

Source date

April 15, 2026
PROFICIENT WEALTH COUNSELORS, LLC
Investment adviser

SEC file number

801-124894

Source date

March 23, 2026
PROFICIO CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-106483

Source date

September 1, 2026
PROFITS PLUS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-136217

Source date

April 10, 2026
PROFOCUS, INCORPORATED
Investment adviser

SEC file number

801-124789

Source date

July 1, 2026
PROFOUNDERS CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-108387

Source date

June 5, 2026
PROFUND ADVISORS LLC
Investment adviser

SEC file number

801-54760

Source date

March 26, 2026
PROFUSION FINANCIAL, INC.
Investment adviser

SEC file number

801-131756

Source date

March 23, 2026
PROGRESS ASIA CAPITAL& ADVISORS PTE LTD
Exempt reporting adviser

SEC file number

802-134192

Source date

March 17, 2026
PROGRESSION MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135402

Source date

January 23, 2026
PROGRESSION PARTNERS LLC
Exempt reporting adviser

SEC file number

802-134459

Source date

March 31, 2026
PROGRESSIVE INVESTMENT MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-32066

Source date

March 20, 2026
PROJECT A VENTURES MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-127292

Source date

March 18, 2026
PROJECT LEVEL MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-132839

Source date

August 10, 2026
PROLOG VENTURES HL II, LLC
Exempt reporting adviser

SEC file number

802-79436

Source date

March 30, 2026
PROMANAGE, LLC
Investment adviser

SEC file number

801-63719

Source date

June 10, 2026
PROMERITUM INVESTMENT MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-108270

Source date

June 5, 2026
PROMETHEAN INVESTMENTS LLP
Investment adviser

SEC file number

801-122767

Source date

June 29, 2026
PROMETHEUS CAPITAL MANAGEMENT CORP.
Investment adviser

SEC file number

801-113098

Source date

March 12, 2026
PROMETHEUS WEALTH MANAGEMENT SAM
Investment adviser

SEC file number

801-131820

Source date

March 5, 2026
PROMETHIUM ADVISORS, LLC
Investment adviser

SEC file number

801-129368

Source date

August 26, 2026
PROMETHOS CAPITAL, LLC
Investment adviser

SEC file number

801-114880

Source date

April 2, 2026
PROMONTORY FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-114494

Source date

February 20, 2026
PROMUS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-77588

Source date

April 30, 2026
PROMUS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-80941

Source date

March 27, 2026
PRONVEST, LLC DBA FUTURE CAPITAL
Investment adviser

SEC file number

801-60964

Source date

September 22, 2026
PROOF GROUP CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-130104

Source date

March 25, 2026
PROOF MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-108604

Source date

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

SEC file number

802-135721

Source date

March 25, 2026
PROPEL BIO MANAGEMENT, LLC
Investment adviser

SEC file number

801-126889

Source date

March 23, 2026
PROPEL EQUITY LLC
Exempt reporting adviser

SEC file number

802-131439

Source date

March 23, 2026
PROPEL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132619

Source date

March 19, 2026
PROPEL VENTURE PARTNERS MANAGEMENT CO., LLC
Investment adviser

SEC file number

801-124861

Source date

April 30, 2026
PROPERTY INVESTMENT ADVISORS, INC.
Exempt reporting adviser

SEC file number

802-118697

Source date

March 5, 2026
PROPHET CAPITAL ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-70461

Source date

April 23, 2026
PROPHET EQUITY MANAGEMENT II LLC
Investment adviser

SEC file number

801-79453

Source date

March 31, 2026
PROPHET EQUITY MANAGEMENT LLC
Investment adviser

SEC file number

801-76092

Source date

March 31, 2026
PROPRIETARY CAPITAL, LLC
Investment adviser

SEC file number

801-61781

Source date

May 27, 2026
PROPRIUM CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-77406

Source date

March 25, 2026
PROPUS CAPITAL LLC
Exempt reporting adviser

SEC file number

802-75362

Source date

March 6, 2026
PROSHARE ADVISORS LLC
Investment adviser

SEC file number

801-64181

Source date

March 26, 2026
PROSHARE INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-136430

Source date

August 31, 2026
PROSIGHT MANAGEMENT, LP
Investment adviser

SEC file number

801-108047

Source date

March 30, 2026
PROSPECT CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-100384

Source date

March 31, 2026
PROSPECT CAPITAL MANAGEMENT L.P.
Investment adviser

SEC file number

801-62969

Source date

August 21, 2026
PROSPECT CREDIT REIT ADVISOR, LLC
Investment adviser

SEC file number

801-130377

Source date

March 25, 2026
PROSPECT ENHANCED YIELD MANAGEMENT, LLC
Investment adviser

SEC file number

801-132686

Source date

March 25, 2026
PROSPECT FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-123732

Source date

July 14, 2026
PROSPECT FINANCIAL SERVICES LLC
Investment adviser

SEC file number

801-122193

Source date

March 9, 2026
PROSPECT HILL GROWTH PARTNERS, L.P.
Investment adviser

SEC file number

801-88194

Source date

March 26, 2026
PROSPECT HILL MANAGEMENT, LLC
Investment adviser

SEC file number

801-121067

Source date

March 25, 2026
PROSPECT PARTNERS ADVISORS LLC
Investment adviser

SEC file number

801-124852

Source date

May 6, 2026
PROSPECT RIDGE ADVISORS, LLC
Investment adviser

SEC file number

801-114474

Source date

March 31, 2026
PROSPECT STREET HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-134013

Source date

March 31, 2026
PROSPER PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-132061

Source date

September 2, 2026
PROSPER WEALTH SOLUTIONS, LLC
Investment adviser

SEC file number

801-119753

Source date

March 27, 2026
PROSPERA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130551

Source date

July 9, 2026
PROSPERA FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-65845

Source date

September 30, 2025
PROSPERA FUNDS, INC.
Investment adviser

SEC file number

801-132209

Source date

March 31, 2026
PROSPERITAS FINANCIAL, LLC
Investment adviser

SEC file number

801-122207

Source date

September 9, 2026
PROSPERITY ADVISERS, LLC
Investment adviser

SEC file number

801-119191

Source date

February 23, 2026
PROSPERITY ADVISORS LLC
Exempt reporting adviser

SEC file number

802-130404

Source date

March 31, 2026
PROSPERITY ADVISORY GROUP LLC
Investment adviser

SEC file number

801-119613

Source date

July 10, 2026
PROSPERITY CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-75498

Source date

April 17, 2026
PROSPERITY FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-134846

Source date

July 27, 2026
PROSPERITY PLANNING, INC.
Investment adviser

SEC file number

801-113944

Source date

September 21, 2026
PROSPERITY ROAD, LLC
Investment adviser

SEC file number

801-118900

Source date

March 10, 2026
PROSPERITY WEALTH PLANNING LLC
Investment adviser

SEC file number

801-121807

Source date

August 25, 2026
PROSPERO WEALTH, LLC
Investment adviser

SEC file number

801-134848

Source date

July 22, 2026
PROSPETTIVA FINANCIAL LLC
Investment adviser

SEC file number

801-123729

Source date

March 17, 2026
PROSSER CREEK ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-131637

Source date

March 18, 2026
PROSSIMO ADVISORS LLC
Investment adviser

SEC file number

801-118685

Source date

March 26, 2026
PROSTAR CAPITAL (US) LLC
Investment adviser

SEC file number

801-80295

Source date

March 30, 2026
PROSTATIS GROUP LLC
Investment adviser

SEC file number

801-112501

Source date

April 30, 2026
PROTA FINANCIAL, LLC
Investment adviser

SEC file number

801-125895

Source date

February 26, 2026
PROTAGONIST MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-126860

Source date

March 31, 2026
PROTEAN FUNDS SCANDINAVIA AB
Exempt reporting adviser

SEC file number

802-129603

Source date

August 5, 2026
PROTERRA INVESTMENT PARTNERS LP
Investment adviser

SEC file number

801-106951

Source date

May 15, 2026
PROTEUS CAPITAL SOLUTIONS, LLC
Exempt reporting adviser

SEC file number

802-118854

Source date

March 27, 2026
PROTEUS, LLC
Investment adviser

SEC file number

801-121224

Source date

July 29, 2026
PROTIUM CAPITAL LIMITED
Investment adviser

SEC file number

801-133998

Source date

March 30, 2026
PROTOCOL VC LLC
Investment adviser

SEC file number

801-130927

Source date

July 1, 2026
PROTOCOL WEALTH, LLC
Investment adviser

SEC file number

801-132382

Source date

July 27, 2026
PROUD AMERICAN CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131616

Source date

April 21, 2025
PROVENANCE MANAGEMENT CO., LP
Investment adviser

SEC file number

801-128477

Source date

March 31, 2026
PROVENANCE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-113505

Source date

September 24, 2026
PROVENIO CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-131264

Source date

July 21, 2026
PROVENTUS AG VERM�GENSVERWALTUNG
Investment adviser

SEC file number

801-77962

Source date

February 26, 2026
PROVIDENCE CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-107683

Source date

March 10, 2026
PROVIDENCE EQUITY PARTNERS L.L.C.
Investment adviser

SEC file number

801-71994

Source date

March 30, 2026
PROVIDENCE FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-127183

Source date

February 27, 2026
PROVIDENCE FINANCIAL AND INSURANCE SERVICES, INC
Investment adviser

SEC file number

801-121770

Source date

May 4, 2026
PROVIDENCE HEIGHTS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118743

Source date

May 29, 2026
PROVIDENCE LEGACY ADVISORS LLC
Investment adviser

SEC file number

801-134269

Source date

March 2, 2026
PROVIDENCE TRUST INC
Exempt reporting adviser

SEC file number

802-131425

Source date

January 29, 2026
PROVIDENCE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-71352

Source date

March 2, 2026
PROVIDENCE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-123273

Source date

April 14, 2026
PROVIDENT FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-123142

Source date

March 24, 2026
PROVIDENT INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-16412

Source date

June 10, 2026
PROVIDENT LIVING FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-132694

Source date

March 5, 2026
PROVIDENT TRUST COMPANY
Investment adviser

SEC file number

801-58213

Source date

April 8, 2026
PROVIDENT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-62799

Source date

March 18, 2026
PROVIDER FINANCIAL, INC.
Investment adviser

SEC file number

801-113344

Source date

February 7, 2026
PROVISE MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-32172

Source date

August 17, 2026
PROVISION ASSET, LLC
Investment adviser

SEC file number

801-132214

Source date

May 7, 2026
PROWELL FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-108292

Source date

September 22, 2026
PROXY WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-128321

Source date

April 9, 2026
PROXYVOTE PLUS, LLC
Investment adviser

SEC file number

801-61408

Source date

March 17, 2026
PRP REAL ASSETS ADVISORS, LLC
Investment adviser

SEC file number

801-134449

Source date

March 31, 2026
PRSPCTV CAPITAL LLC
Exempt reporting adviser

SEC file number

802-122163

Source date

August 10, 2026
PRUCO SECURITIES, LLC
Investment adviser

SEC file number

801-52208

Source date

May 19, 2026