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 70 of 95

PRUDENCE ASSET MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-123252

Source date

March 23, 2026
PRUDENCE HOLDINGS MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-131081

Source date

March 16, 2026
PRUDENCE INVESTMENT MANAGEMENT (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-78444

Source date

March 23, 2026
PRUDENT INVESTOR ADVISORS, LLC
Investment adviser

SEC file number

801-63481

Source date

March 26, 2026
PRUDENT INVESTORS NETWORK, INC.
Investment adviser

SEC file number

801-79432

Source date

April 30, 2026
PRUDENT MAN ADVISORS, LLC
Investment adviser

SEC file number

801-115313

Source date

April 30, 2026
PRUDENT MAN INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-33304

Source date

March 16, 2026
PRUDENT MANAGEMENT ASSOCIATES
Investment adviser

SEC file number

801-20018

Source date

March 27, 2026
PRUDENTIAL CAPITAL GROUP INC.
Exempt reporting adviser

SEC file number

802-134173

Source date

July 16, 2025
PRUDENTIAL SELECT STRATEGIES LLC
Investment adviser

SEC file number

801-108896

Source date

March 17, 2026
PRUFID FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-66728

Source date

March 4, 2026
PRUNEYARD FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-60693

Source date

June 8, 2026
PRUSIK INVESTMENT MANAGEMENT LLP
Exempt reporting adviser

SEC file number

802-77763

Source date

June 22, 2026
PRUVEN MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-119314

Source date

March 30, 2026
PRV MANAGEMENT, L.P.
Investment adviser

SEC file number

801-73287

Source date

March 27, 2026
PRYSM CAPITAL, L.P.
Investment adviser

SEC file number

801-119979

Source date

March 30, 2026
PRYTANIA INVESTMENT ADVISORS LLP
Investment adviser

SEC file number

801-108860

Source date

July 8, 2026
PSC CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-77373

Source date

March 26, 2026
PSC FINANCIAL LLC
Investment adviser

SEC file number

801-120763

Source date

March 20, 2026
PSC MANAGER LLC
Investment adviser

SEC file number

801-121248

Source date

September 24, 2026
PSG CREDIT GP, LLC
Investment adviser

SEC file number

801-136940

Source date

August 6, 2026
PSG EQUITY L.L.C.
Investment adviser

SEC file number

801-119814

Source date

March 30, 2026
PSI ADVISORS, LLC
Investment adviser

SEC file number

801-108813

Source date

September 18, 2026
PSP RESEARCH LLC
Investment adviser

SEC file number

801-131402

Source date

July 1, 2026
PSQUARED ASSET MANAGEMENT AG
Exempt reporting adviser

SEC file number

802-80066

Source date

March 17, 2026
PSYMED VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135713

Source date

February 26, 2026
PT ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-46031

Source date

March 31, 2026
PT CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-107539

Source date

March 24, 2026
PTM WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129819

Source date

March 17, 2026
PTX CAPITAL LLC
Exempt reporting adviser

SEC file number

802-131481

Source date

March 30, 2026
PUBLIC ADVISORS LLC
Investment adviser

SEC file number

801-123433

Source date

March 29, 2026
PUBLIC EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-62213

Source date

April 17, 2026
PUBLIC SAFETY FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-136772

Source date

June 17, 2026
PUBLIC TRUST ADVISORS, LLC
Investment adviser

SEC file number

801-72782

Source date

April 30, 2026
PUENTES MAYORGA ADVISERS, S.A.S
Investment adviser

SEC file number

801-112542

Source date

September 15, 2026
PUFF WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-131694

Source date

February 16, 2026
PUGH CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-39138

Source date

March 24, 2026
PUISSANCE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-135328

Source date

January 13, 2026
PULLEN INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-127520

Source date

February 16, 2026
PULLIAM FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-134600

Source date

May 5, 2026
PUMA VENTURE CAPITAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-134824

Source date

April 6, 2026
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-61205

Source date

April 30, 2026
PUNCH CARD MANAGEMENT LP
Investment adviser

SEC file number

801-79532

Source date

March 26, 2026
PURA VIDA INVESTMENTS, LLC
Investment adviser

SEC file number

801-80547

Source date

March 30, 2026
PURE FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-70137

Source date

September 11, 2026
PUREFI WEALTH, LLC
Investment adviser

SEC file number

801-128976

Source date

March 24, 2026
PUREVEST, LLC
Investment adviser

SEC file number

801-123242

Source date

March 13, 2026
PUREWATER CAPITAL, LLC
Investment adviser

SEC file number

801-133815

Source date

April 29, 2026
PURKISS CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-64777

Source date

August 25, 2026
PURSELL MANAGEMENT CO. LLC
Investment adviser

SEC file number

801-115285

Source date

March 26, 2026
PURSUE WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-127939

Source date

September 15, 2026
PURSUIT FUND ADVISERS LLC
Investment adviser

SEC file number

801-134049

Source date

May 11, 2026
PURSUIT WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-134423

Source date

February 13, 2026
PURTILL FINANCIAL LLC
Investment adviser

SEC file number

801-111854

Source date

March 11, 2026
PURUS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-80854

Source date

March 18, 2026
PUTNAM INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-7974

Source date

September 16, 2026
PUTTERMAN, DEAN ELIOT
Investment adviser

SEC file number

801-62962

Source date

March 12, 2026
PV MANAGEMENT INC
Exempt reporting adviser

SEC file number

802-127268

Source date

March 30, 2026
PVA FINANCIAL LLC
Investment adviser

SEC file number

801-136637

Source date

July 10, 2026
PVG ASSET MANAGEMENT CORP
Investment adviser

SEC file number

801-30581

Source date

August 4, 2026
PVGLOBAL LLC
Exempt reporting adviser

SEC file number

802-113665

Source date

April 1, 2026
PW ADVISORS, LLC
Investment adviser

SEC file number

801-132980

Source date

July 28, 2026
PW NOVA FINANCIAL SERVICES LLC
Investment adviser

SEC file number

801-131527

Source date

April 17, 2026
PWV CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136084

Source date

March 30, 2026
PX3 PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-127274

Source date

May 4, 2026
PYA WALTMAN CAPITAL, LLC
Investment adviser

SEC file number

801-64909

Source date

March 2, 2026
PYRFORD INTERNATIONAL LTD
Investment adviser

SEC file number

801-34270

Source date

June 30, 2026
PYTHAGORAS MANAGEMENT COMPANY LLC
Exempt reporting adviser

SEC file number

802-122883

Source date

March 25, 2026
PZENA INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-50838

Source date

March 30, 2026
Q FUND MANAGEMENT (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-107920

Source date

February 23, 2026
Q WEALTH USA INC.
Investment adviser

SEC file number

801-132341

Source date

September 23, 2026
Q2 WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-134286

Source date

July 31, 2026
Q3 ADVISORS, LLC
Investment adviser

SEC file number

801-129519

Source date

August 24, 2026
Q3 ASSET MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-77461

Source date

March 29, 2026
QAPITAL INVEST, LLC
Investment adviser

SEC file number

801-112184

Source date

January 30, 2026
QARMA TECHNOLOGY, INC.
Investment adviser

SEC file number

801-62853

Source date

March 30, 2026
QBIT VENTURES US LLC
Exempt reporting adviser

SEC file number

802-128331

Source date

March 31, 2026
QBOX FIDUCIARY SOLUTIONS, LLC
Investment adviser

SEC file number

801-107788

Source date

September 2, 2026
QCA CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-122806

Source date

April 29, 2026
QCAM CURRENCY ASSET MANAGEMENT
Investment adviser

SEC file number

801-79427

Source date

March 30, 2026
QCP GMBH
Exempt reporting adviser

SEC file number

802-80410

Source date

April 30, 2026
QED INVESTORS, LLC
Exempt reporting adviser

SEC file number

802-122363

Source date

April 7, 2026
Q-ENERGY PRIVATE EQUITY, S.G.E.I.C., S.A.
Exempt reporting adviser

SEC file number

802-121730

Source date

March 31, 2026
QEP ADVISERS, LLC
Investment adviser

SEC file number

801-88204

Source date

June 30, 2026
QHP CAPITAL, L.P.
Investment adviser

SEC file number

801-120523

Source date

September 15, 2026
QIC INVESTMENTS NO. 1 PTY LTD
Investment adviser

SEC file number

801-74058

Source date

June 9, 2026
QIC US INVESTMENT SERVICES INC
Investment adviser

SEC file number

801-74064

Source date

September 25, 2026
QIMING CAYMAN, LTD
Exempt reporting adviser

SEC file number

802-74718

Source date

March 31, 2026
QIMING GLOBAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119026

Source date

March 31, 2026
QIMING U.S. VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-110189

Source date

March 30, 2026
QM ADVISORS LLC
Investment adviser

SEC file number

801-132594

Source date

March 25, 2026
QMP MANAGEMENT, LLC
Investment adviser

SEC file number

801-118581

Source date

April 22, 2026
QP CONSULTING, LLC
Investment adviser

SEC file number

801-78910

Source date

January 20, 2026
QP GLOBAL FAMILY OFFICES, LLC
Investment adviser

SEC file number

801-112913

Source date

March 31, 2026
QP WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-115196

Source date

May 19, 2026
QPE NO. 3 MANAGEMENT PTY LIMITED
Exempt reporting adviser

SEC file number

802-76205

Source date

September 30, 2025
QRG CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-118081

Source date

June 30, 2026
QSEMBLE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-112156

Source date

April 13, 2026
QSO CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135581

Source date

July 24, 2026
QTR FAMILY WEALTH, LLC
Investment adviser

SEC file number

801-130687

Source date

March 31, 2026
QTRON INVESTMENTS LLC
Investment adviser

SEC file number

801-111732

Source date

March 31, 2026
QUABBIN ADVISORS, LLC
Investment adviser

SEC file number

801-136203

Source date

June 4, 2026
QUAD CITY INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-60227

Source date

March 24, 2026
QUAD INVESTMENT MANAGEMENT CORP.
Investment adviser

SEC file number

801-134528

Source date

March 12, 2026
QUAD PARTNERS LLC
Investment adviser

SEC file number

801-73196

Source date

March 30, 2026
QUAD-C MANAGEMENT, INC.
Investment adviser

SEC file number

801-73741

Source date

March 26, 2026
QUADCAP WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-79483

Source date

September 16, 2026
QUAD-CITIES INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-71612

Source date

April 16, 2026
QUADPOINT PARTNERS LLC
Exempt reporting adviser

SEC file number

802-128542

Source date

January 16, 2026
QUADRA GESTAO DE RECURSOS S.A.
Investment adviser

SEC file number

801-127666

Source date

May 5, 2026
QUADRANCE CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-136007

Source date

March 26, 2026
QUADRANT CAPITAL GROUP LLC
Investment adviser

SEC file number

801-69216

Source date

July 30, 2026
QUADRANT PRIVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-106484

Source date

April 1, 2026
QUADRATIC BUSAN ENERGY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134737

Source date

February 26, 2026
QUADRATIC CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-106485

Source date

February 25, 2026
QUADRE INVESTMENTS ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-112135

Source date

March 19, 2026
QUADRIA CAPITAL INVESTMENT MANAGEMENT PTE LTD
Exempt reporting adviser

SEC file number

802-106489

Source date

March 6, 2026
QUADRIGA ASSET MANAGERS SGIIC, S.A.
Exempt reporting adviser

SEC file number

802-136427

Source date

May 5, 2026
QUADRIGA CAPITAL IIIA GP LIMITED
Exempt reporting adviser

SEC file number

802-113338

Source date

March 31, 2026
QUADRIGA CAPITAL IV GP LIMITED
Exempt reporting adviser

SEC file number

802-76246

Source date

March 31, 2026
QUAERO CAPITAL SA
Investment adviser

SEC file number

801-114456

Source date

August 25, 2026
QUAERO CAPITAL SAS FRANCE
Exempt reporting adviser

SEC file number

802-130809

Source date

March 19, 2026
QUAKE INVESTMENT STRATEGIES, LLC
Exempt reporting adviser

SEC file number

802-112305

Source date

March 30, 2026
QUAKER WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-108126

Source date

March 10, 2026
QUALIVIAN INVESTMENT PARTNERS LP
Investment adviser

SEC file number

801-136303

Source date

April 18, 2026
QUALTUS INVESTMENT PARTNERS LLC
Exempt reporting adviser

SEC file number

802-131471

Source date

January 29, 2026
QUAN CAPITAL MANAGEMENT (US) LLC
Exempt reporting adviser

SEC file number

802-114656

Source date

March 26, 2026
QUAN CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-112544

Source date

March 26, 2026
QUAN VEST CONSULTANTS INC
Investment adviser

SEC file number

801-20177

Source date

March 14, 2026
QUANGENTICS INC.
Investment adviser

SEC file number

801-134288

Source date

March 31, 2026
QUANT ALPHA DECISIONS LLC
Investment adviser

SEC file number

801-135231

Source date

July 27, 2026
QUANTA ENERGY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-129746

Source date

January 21, 2026
QUANTALIS ASSET MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-133926

Source date

June 20, 2025
QUANTBASE, LLC
Investment adviser

SEC file number

801-122782

Source date

April 30, 2026
QUANTBOT TECHNOLOGIES, LP
Investment adviser

SEC file number

801-79394

Source date

March 20, 2026
QUANTCA FINANCIAL LLC
Investment adviser

SEC file number

801-131036

Source date

March 27, 2026
QUANTCORE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-77551

Source date

February 11, 2026
QUANTECH SOLUTION PARTNERS NORTH AMERICA INC.
Investment adviser

SEC file number

801-122283

Source date

March 30, 2026
QUANTEDGE CAPITAL PTE LTD.
Exempt reporting adviser

SEC file number

802-74076

Source date

April 30, 2026
QUANTEL ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-119860

Source date

July 24, 2026
QUANTESSENCE CAPITAL LLC
Investment adviser

SEC file number

801-129633

Source date

July 20, 2026
QUANTIFY CHAOS ADVISORS, LLC
Investment adviser

SEC file number

801-129075

Source date

September 25, 2026
QUANTIFY SECURITIES INVESTMENT COMPANY LTD
Exempt reporting adviser

SEC file number

802-135879

Source date

March 18, 2026
QUANTINNO CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-114071

Source date

September 14, 2026
QUANTITATIVE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-67607

Source date

March 27, 2026
QUANTITATIVE FINANCE LLC
Investment adviser

SEC file number

801-129453

Source date

April 28, 2026
QUANTITATIVE FINANCIAL STRATEGIES LLC
Investment adviser

SEC file number

801-135867

Source date

August 10, 2026
QUANTITATIVE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-72583

Source date

March 31, 2026
QUANTITATIVE PROCESS, LLC
Investment adviser

SEC file number

801-79279

Source date

February 27, 2026
QUANTITATIVE SYSTEMATIC STRATEGIES LLC
Investment adviser

SEC file number

801-77355

Source date

April 22, 2026
QUANTIX COMMODITIES LP
Investment adviser

SEC file number

801-123068

Source date

March 30, 2026
QUANTONATION VENTURES SAS
Exempt reporting adviser

SEC file number

802-136017

Source date

March 27, 2026
QUANTOR CAPITAL LLC
Investment adviser

SEC file number

801-131325

Source date

August 17, 2026
QUANTUM ADVISERS, LLC
Investment adviser

SEC file number

801-74053

Source date

June 30, 2026
QUANTUM ADVISORS PRIVATE LIMITED
Investment adviser

SEC file number

801-70375

Source date

June 25, 2026
QUANTUM CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-77003

Source date

March 26, 2026
QUANTUM CAPITAL INVESTMENT GROUP LLC
Exempt reporting adviser

SEC file number

802-135925

Source date

March 23, 2026
QUANTUM CAPITAL INVESTMENTS, INC.
Investment adviser

SEC file number

801-132836

Source date

June 8, 2026
QUANTUM CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-57840

Source date

March 26, 2026
QUANTUM FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-125887

Source date

March 26, 2026
QUANTUM FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-122978

Source date

June 5, 2026
QUANTUM FINANCIAL PARTNERS LLC
Investment adviser

SEC file number

801-135417

Source date

September 4, 2026
QUANTUM FINANCIAL PLANNING SERVICES, INC.
Investment adviser

SEC file number

801-110112

Source date

December 19, 2025
QUANTUM FINANCIAL SERVICES INC.
Investment adviser

SEC file number

801-67729

Source date

March 31, 2026
QUANTUM LEAP CAPITAL, LLC
Investment adviser

SEC file number

801-130581

Source date

April 29, 2026
QUANTUM PORTFOLIO MANAGEMENT, LLC
Investment adviser

SEC file number

801-127936

Source date

April 27, 2026
QUANTUM PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-118195

Source date

July 22, 2026
QUANTUM TECHNOLOGIES INVESTMENT MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134207

Source date

March 31, 2026
QUANTUMEDGE VENTURES, LLC
Exempt reporting adviser

SEC file number

802-134341

Source date

March 24, 2026
QUANXER LTD.
Exempt reporting adviser

SEC file number

802-134744

Source date

December 15, 2025
QUARRY HILL ADVISORS, LLC
Investment adviser

SEC file number

801-122010

Source date

August 12, 2026
QUARTUS INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-110425

Source date

May 6, 2026
QUARTZ PARTNERS, LLC
Investment adviser

SEC file number

801-80822

Source date

June 8, 2026
QUASAR ADVISORS LLC
Investment adviser

SEC file number

801-136656

Source date

June 11, 2026
QUATTRO ADVISORS L.L.C.
Investment adviser

SEC file number

801-80531

Source date

March 25, 2026
QUATTRO FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-108263

Source date

July 21, 2026
QUBE RESEARCH & TECHNOLOGIES LIMITED
Exempt reporting adviser

SEC file number

802-116999

Source date

March 31, 2026
QUEEN CITY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-76921

Source date

March 16, 2026
QUEENBRIDGE CAPITAL, LLC
Investment adviser

SEC file number

801-126976

Source date

April 9, 2026
QUEEN'S PARK EQUITY LLP
Exempt reporting adviser

SEC file number

802-132640

Source date

July 27, 2026
QUENT CAPITAL, LLC
Investment adviser

SEC file number

801-118601

Source date

March 30, 2026
QUEST 10 WEALTH BUILDERS, INC.
Investment adviser

SEC file number

801-126228

Source date

June 10, 2026
QUEST INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-23659

Source date

March 5, 2026
QUEST VENTURE PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-88222

Source date

May 18, 2026
QUEST WEALTH SOLUTIONS, INC.
Investment adviser

SEC file number

801-136016

Source date

August 24, 2026
QUESTA CAPITAL MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-108887

Source date

August 13, 2026
QUESTMARK MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-79594

Source date

March 30, 2026
QUID CAPITAL GROUP HOLDINGS, LLC
Investment adviser

SEC file number

801-119203

Source date

March 31, 2026
QUIET CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-118612

Source date

April 29, 2026
QUIET CIRCLE CAPITAL LLC
Exempt reporting adviser

SEC file number

802-137079

Source date

July 23, 2026
QUILLU INC
Investment adviser

SEC file number

801-79758

Source date

March 26, 2026
QUILVEST CAPITAL PARTNERS AM S.A.
Exempt reporting adviser

SEC file number

802-108938

Source date

March 31, 2026
QUILVEST CAPITAL PARTNERS MANAGEMENT, LLC
Investment adviser

SEC file number

801-106731

Source date

May 28, 2026
QUINBROOK INFRASTRUCTURE PARTNERS (JERSEY) LIMITED
Exempt reporting adviser

SEC file number

802-112104

Source date

March 26, 2026
QUINBROOK INFRASTRUCTURE PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-112103

Source date

March 26, 2026
QUINBROOK INFRASTRUCTURE PARTNERS LLC
Investment adviser

SEC file number

801-112447

Source date

July 28, 2026
QUINBROOK INFRASTRUCTURE PARTNERS PTY LIMITED
Exempt reporting adviser

SEC file number

802-112102

Source date

March 26, 2026
QUINCY WELLS ADVISORS, LLC
Investment adviser

SEC file number

801-118231

Source date

March 31, 2026
QUINN OPPORTUNITY PARTNERS LLC
Investment adviser

SEC file number

801-80967

Source date

April 30, 2026
QUINT CAPITAL CORPORATION
Investment adviser

SEC file number

801-128990

Source date

May 4, 2026
QUINT WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-118831

Source date

September 4, 2026
QUINTESSENTIAL CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-118457

Source date

March 27, 2026
QUIQ CAPITAL LLC
Exempt reporting adviser

SEC file number

802-129832

Source date

March 13, 2026
QUISH & CO. LLC
Investment adviser

SEC file number

801-132344

Source date

March 13, 2026
QUONA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-106487

Source date

March 30, 2026
QUORUS INC.
Investment adviser

SEC file number

801-136190

Source date

June 9, 2026
QUOTIENT WEALTH ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-133799

Source date

March 25, 2026
QUOTIENT WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-128380

Source date

September 24, 2026
QVIDTVM MANAGEMENT LLC
Investment adviser

SEC file number

801-120722

Source date

March 27, 2026
QVT FINANCIAL LP
Investment adviser

SEC file number

801-73049

Source date

March 31, 2026
R & R FINANCIAL PLANNERS, INC.
Investment adviser

SEC file number

801-127801

Source date

August 21, 2026
R M DAVIS INC
Investment adviser

SEC file number

801-13878

Source date

March 30, 2026
R SQUARED BM LLC
Investment adviser

SEC file number

801-118857

Source date

March 31, 2026
R. F. LAFFERTY & CO., INC.
Investment adviser

SEC file number

801-107428

Source date

September 23, 2026
R. S. CRUM, INC.
Investment adviser

SEC file number

801-72672

Source date

September 9, 2026
R. SEEGER WEALTH MANAGEMENT, LTD
Investment adviser

SEC file number

801-121764

Source date

February 12, 2026
R. STEWART EADS INVESTMENT COUNSEL, INC.
Investment adviser

SEC file number

801-29263

Source date

March 30, 2026
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-65629

Source date

March 31, 2026
R.H. DINEL INVESTMENT COUNSEL,INC.
Investment adviser

SEC file number

801-39695

Source date

March 20, 2026
R.H. INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-126273

Source date

February 23, 2026
R.I.T. WEALTH ADVISORS INC.
Investment adviser

SEC file number

801-135761

Source date

September 9, 2026
R.J. CLOUD ADVISORS & COMPANY
Investment adviser

SEC file number

801-126159

Source date

January 26, 2026
R.L. EVANS CO. INC.
Investment adviser

SEC file number

801-111918

Source date

September 25, 2026
R.M.SINCERBEAUX CAPITAL MANAGEMENT, LLC.
Investment adviser

SEC file number

801-68388

Source date

March 24, 2026
R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.
Investment adviser

SEC file number

801-63242

Source date

July 1, 2026
R.V. KUHNS & ASSOCIATES, INC.
Investment adviser

SEC file number

801-27679

Source date

June 5, 2026
R.W. ROGE & COMPANY, INC
Investment adviser

SEC file number

801-28012

Source date

February 10, 2026
R01 CAPITAL MANAGER LLC
Exempt reporting adviser

SEC file number

802-129840

Source date

March 30, 2026
R1 CAPITAL, INC.
Exempt reporting adviser

SEC file number

802-137411

Source date

September 1, 2026
R136 MANAGEMENT - FZCO
Exempt reporting adviser

SEC file number

802-129093

Source date

September 22, 2026
R2 ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-128306

Source date

February 11, 2026
R2 CAPITAL STRATEGIES, LLC
Investment adviser

SEC file number

801-134643

Source date

April 1, 2026
R3CS MANAGER LLC
Exempt reporting adviser

SEC file number

802-132279

Source date

May 21, 2026
R7 PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-117254

Source date

September 23, 2026
RA CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-73980

Source date

March 31, 2026
RAAB & MOSKOWITZ ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-58135

Source date

March 25, 2026
RAAS CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-137425

Source date

September 2, 2026
RABE INVESTMENT CONSULTING GROUP
Investment adviser

SEC file number

801-122170

Source date

September 24, 2026
RABENOLD ADVISORS, INC.
Investment adviser

SEC file number

801-135399

Source date

March 4, 2026
RAC STRATEGIC PARTNERS LLC
Investment adviser

SEC file number

801-136740

Source date

July 24, 2026
RACE CAPITAL MANAGEMENT COMPANY, L.L.C.
Exempt reporting adviser

SEC file number

802-127272

Source date

March 27, 2026
RACHOR INVESTMENT ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-24721

Source date

March 17, 2026
RACKHOUSE VENTURE MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-121131

Source date

April 1, 2026
RACON CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-112409

Source date

March 30, 2026
RADAR GESTORA DE RECURSOS LTDA.
Exempt reporting adviser

SEC file number

802-88220

Source date

March 27, 2026
RADCLIFF MANAGEMENT LLC
Investment adviser

SEC file number

801-110037

Source date

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

SEC file number

801-65461

Source date

March 30, 2026
RADEMACHER FINANCIAL, INC.
Investment adviser

SEC file number

801-113139

Source date

March 3, 2026
RADIAL EQUITY PARTNERS LP
Investment adviser

SEC file number

801-118824

Source date

March 31, 2026
RADIAN CAPITAL LLC
Investment adviser

SEC file number

801-127247

Source date

March 24, 2026