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 73 of 95

RIDGEPATH CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-119002

Source date

February 3, 2026
RIDGEPEAK INVESTMENT PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-122789

Source date

March 6, 2026
RIDGEPOST CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-125012

Source date

May 20, 2026
RIDGEVIEW ASSET MANAGEMENT PARTNERS, LLC
Investment adviser

SEC file number

801-110015

Source date

March 23, 2026
RIDGEWOOD ENERGY CORPORATION
Investment adviser

SEC file number

801-67440

Source date

March 30, 2026
RIDGEWOOD INFRASTRUCTURE, LLC
Investment adviser

SEC file number

801-122922

Source date

March 30, 2026
RIDGEWOOD INVESTMENTS LLC
Investment adviser

SEC file number

801-66378

Source date

April 3, 2026
RIDGEWOOD PRIVATE EQUITY PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-122920

Source date

March 30, 2026
RIDIRE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135132

Source date

July 17, 2026
RIGDEN ENTERPRISES
Investment adviser

SEC file number

801-132101

Source date

June 8, 2026
RIGGS ASSET MANAGEMENT CO INC
Investment adviser

SEC file number

801-38171

Source date

February 26, 2026
RIGHT SIDE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128414

Source date

May 21, 2026
RIGHTHAND CAPITAL, LLC
Investment adviser

SEC file number

801-127744

Source date

July 31, 2026
RIGHTOAK ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-134408

Source date

September 1, 2026
RIGHTWEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-114853

Source date

March 18, 2026
RIHO PARTNERS, LLC
Investment adviser

SEC file number

801-136147

Source date

March 31, 2026
RIK SAYLOR FINANCIAL, INC.
Investment adviser

SEC file number

801-121784

Source date

March 25, 2026
RILEX CAPITAL LLC
Investment adviser

SEC file number

801-136181

Source date

May 13, 2026
RILEY S. CROSBIE ADVISORY, LLC
Investment adviser

SEC file number

801-136266

Source date

June 9, 2026
RIMROCK CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-65109

Source date

April 30, 2026
RINALDI WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-122703

Source date

February 22, 2026
RINCON VENTURE MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-76198

Source date

March 25, 2026
RING MOUNTAIN CAPITAL, LLC
Investment adviser

SEC file number

801-130089

Source date

June 9, 2026
RINGS CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-113056

Source date

May 1, 2026
RINKEY INVESTMENTS
Investment adviser

SEC file number

801-122912

Source date

May 19, 2026
RIO SIERRAS LP
Exempt reporting adviser

SEC file number

802-131392

Source date

January 20, 2026
RIOBLANCO CAPITAL LLC
Investment adviser

SEC file number

801-132668

Source date

July 30, 2026
RIORDAN, LEWIS & HADEN, INC
Investment adviser

SEC file number

801-74220

Source date

June 11, 2026
RIOT VENTURES MANAGEMENT, LLC
Investment adviser

SEC file number

801-126952

Source date

April 30, 2026
RIPARIAN CAPITAL PARTNERS PTY LIMITED
Exempt reporting adviser

SEC file number

802-121710

Source date

September 17, 2026
RIPL WEALTH LLC
Investment adviser

SEC file number

801-136371

Source date

June 3, 2026
RIPOSTE CAPITAL LLC
Investment adviser

SEC file number

801-126026

Source date

August 5, 2026
RIPPLE EFFECT ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-130501

Source date

March 27, 2026
RIPPLE MANAGER INC.
Exempt reporting adviser

SEC file number

802-128139

Source date

March 28, 2025
RISCURA SOLUTIONS (UK) LIMITED
Investment adviser

SEC file number

801-134183

Source date

September 24, 2026
RISE ADVISORS, LLC
Investment adviser

SEC file number

801-119066

Source date

August 17, 2026
RISING PHOENIX CAPITAL VENTURES, LLC
Exempt reporting adviser

SEC file number

802-136482

Source date

May 13, 2026
RISING POINT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-136700

Source date

June 9, 2026
RISING TIDE FUND MANAGERS, LLC
Exempt reporting adviser

SEC file number

802-129109

Source date

March 31, 2026
RISK MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-132202

Source date

May 13, 2026
RISK PARADIGM GROUP, LLC
Investment adviser

SEC file number

801-72141

Source date

March 31, 2026
RISK SETTLEMENTS MANAGER, LLC
Investment adviser

SEC file number

801-136907

Source date

June 29, 2026
RISKBRIDGE ADVISORS, LLC
Investment adviser

SEC file number

801-119715

Source date

August 28, 2026
RISLEY CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-123382

Source date

January 23, 2026
RITHM CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-131816

Source date

August 27, 2026
RITHOLTZ WEALTH MANAGEMENT
Investment adviser

SEC file number

801-78479

Source date

August 10, 2026
RITTMANN CAPITAL MANAGEMENT CO
Investment adviser

SEC file number

801-132256

Source date

January 9, 2026
RITUAL CAPITAL MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-129141

Source date

February 11, 2026
RIVA RIDGE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-73405

Source date

March 29, 2026
RIVAGE INVESTMENT US LLC
Exempt reporting adviser

SEC file number

802-134524

Source date

September 9, 2025
RIVAS CANYON ROAD ADVISERS LLC
Exempt reporting adviser

SEC file number

802-108344

Source date

March 24, 2026
RIVE PRIVATE INVESTMENT SWITZERLAND S.A.
Exempt reporting adviser

SEC file number

802-112516

Source date

February 5, 2026
RIVEAN CAPITAL B.V.
Exempt reporting adviser

SEC file number

802-76356

Source date

March 25, 2026
RIVER ASSOCIATES INVESTMENTS, L.P.
Investment adviser

SEC file number

801-134082

Source date

March 27, 2026
RIVER CANYON FUND MANAGEMENT LLC
Investment adviser

SEC file number

801-78722

Source date

March 28, 2026
RIVER CITIES MANAGEMENT, INC. (F.K.A. MAYFIELD & ROBINSON, INC.)
Investment adviser

SEC file number

801-122645

Source date

March 24, 2026
RIVER CRESCENT ADVISORS, LLC
Investment adviser

SEC file number

801-132065

Source date

January 30, 2026
RIVER PARTNERS CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-80478

Source date

June 18, 2026
RIVER RAISIN INVESTMENT PARTNERS, INC.
Investment adviser

SEC file number

801-136717

Source date

June 26, 2026
RIVER ROAD ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-64175

Source date

March 31, 2026
RIVER SEA HOLDINGS, LLC
Exempt reporting adviser

SEC file number

802-131612

Source date

February 9, 2026
RIVER STREET ADVISORS, LLC
Investment adviser

SEC file number

801-119750

Source date

June 9, 2026
RIVER WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-80629

Source date

September 9, 2026
RIVER1 ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-129274

Source date

February 26, 2026
RIVERBEND CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-72250

Source date

July 13, 2026
RIVERBEND WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-131306

Source date

March 11, 2026
RIVERBRIDGE PARTNERS LLC
Investment adviser

SEC file number

801-57432

Source date

March 13, 2026
RIVERCHASE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-128962

Source date

April 7, 2026
RIVERCREST CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-114834

Source date

March 12, 2026
RIVERFRONT INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-68810

Source date

July 17, 2026
RIVERGLADE CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-117071

Source date

March 27, 2026
RIVERGLADES FAMILY OFFICES, LLC
Investment adviser

SEC file number

801-79857

Source date

March 19, 2026
RIVERMONT CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-120207

Source date

March 23, 2026
RIVERNORTH CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-61533

Source date

March 31, 2026
RIVEROAK INVESTMENT CORP., LLC
Exempt reporting adviser

SEC file number

802-76124

Source date

March 27, 2026
RIVERPARK ADVISORS, LLC
Investment adviser

SEC file number

801-70321

Source date

March 20, 2026
RIVERPARK CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-70410

Source date

March 20, 2026
RIVERPATH INVESTMENTS LLC
Investment adviser

SEC file number

801-117564

Source date

January 21, 2026
RIVERPLACE CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-79970

Source date

July 31, 2026
RIVERPOINT WEALTH MANAGEMENT HOLDINGS, LLC
Investment adviser

SEC file number

801-78487

Source date

March 27, 2026
RIVERROCK ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-127848

Source date

April 1, 2026
RIVER'S EDGE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-130663

Source date

April 27, 2026
RIVERSEDGE ADVISORS, LLC
Investment adviser

SEC file number

801-113978

Source date

July 16, 2026
RIVERSIDE PARTNERS, LLC
Investment adviser

SEC file number

801-73262

Source date

September 22, 2026
RIVERSIDE PARTNERS, LLC
Investment adviser

SEC file number

801-73686

Source date

July 1, 2026
RIVERSPAN PARTNERS LP
Investment adviser

SEC file number

801-133703

Source date

March 31, 2026
RIVERSTONE ADVISORS, LLC
Investment adviser

SEC file number

801-62778

Source date

August 24, 2026
RIVERSTONE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-136810

Source date

June 23, 2026
RIVERSTONE INVESTMENT GROUP LLC
Investment adviser

SEC file number

801-64963

Source date

March 30, 2026
RIVERTREE ADVISORS, LLC
Investment adviser

SEC file number

801-78200

Source date

March 24, 2026
RIVERTREE WEALTH LLC
Investment adviser

SEC file number

801-134383

Source date

September 17, 2026
RIVERVEST VENTURE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-74590

Source date

March 20, 2026
RIVERVIEW CAPITAL ADVISERS LLC
Investment adviser

SEC file number

801-66623

Source date

April 1, 2026
RIVERVIEW RESEARCH, LLC
Investment adviser

SEC file number

801-78821

Source date

March 6, 2026
RIVERWALK CAPITAL III, LLC
Exempt reporting adviser

SEC file number

802-118979

Source date

March 31, 2026
RIVERWALK CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-128887

Source date

April 17, 2026
RIVERWALK CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-115067

Source date

March 31, 2026
RIVERWATER PARTNERS LLC
Investment adviser

SEC file number

801-117635

Source date

June 16, 2026
RIVERWEST INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-135157

Source date

May 19, 2026
RIVERWOOD CAPITAL MANAGEMENT L.P.
Investment adviser

SEC file number

801-73624

Source date

March 31, 2026
RIVET VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-124919

Source date

June 9, 2026
RIVI CAPITAL LLC
Exempt reporting adviser

SEC file number

802-107765

Source date

June 17, 2026
RIVONIA ROAD CAPITAL LLC
Investment adviser

SEC file number

801-136773

Source date

August 25, 2026
RIZVI TRAVERSE MANAGEMENT, LLC
Investment adviser

SEC file number

801-74242

Source date

March 30, 2026
RJ PATTERSON CAPITAL INVESTMENT GROUP INC.
Investment adviser

SEC file number

801-136552

Source date

June 2, 2026
RJ20, INC.
Investment adviser

SEC file number

801-74442

Source date

April 1, 2026
RJA ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-71483

Source date

September 23, 2026
RJJ PASADENA SECURITIES, INC.
Investment adviser

SEC file number

801-136009

Source date

June 12, 2026
RJP INVESTMENT ADVISORS, LLP
Investment adviser

SEC file number

801-123261

Source date

February 9, 2026
RK ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-78999

Source date

January 22, 2026
RK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130268

Source date

March 30, 2026
RKL WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-66968

Source date

March 27, 2026
RLB FINANCIAL LLC
Investment adviser

SEC file number

801-128918

Source date

March 6, 2026
RLH CAPITAL, LLC
Investment adviser

SEC file number

801-135538

Source date

May 4, 2026
RLJ EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-74617

Source date

April 30, 2026
RM 26, INC.
Investment adviser

SEC file number

801-137249

Source date

September 11, 2026
RM ADVISER, LLC
Investment adviser

SEC file number

801-108063

Source date

March 30, 2026
RM FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-120468

Source date

March 23, 2026
RM INVESTMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-126515

Source date

March 27, 2026
RM MANAGER, LLC
Exempt reporting adviser

SEC file number

802-94171

Source date

April 7, 2026
RM PRIVATE WEALTH MANAGEMENT INC.
Investment adviser

SEC file number

801-118937

Source date

March 10, 2026
RMDR ADVISORS, INC.
Investment adviser

SEC file number

801-68095

Source date

March 16, 2026
RMG WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-119774

Source date

April 30, 2026
RMR CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-118066

Source date

February 24, 2026
RMR WEALTH BUILDERS, INC.
Investment adviser

SEC file number

801-80404

Source date

April 15, 2026
RMR WEALTH MANAGEMENT
Investment adviser

SEC file number

801-70823

Source date

March 31, 2026
RMW ADVISORS, LLC
Investment adviser

SEC file number

801-117111

Source date

January 16, 2026
RMWC
Investment adviser

SEC file number

801-71710

Source date

September 10, 2026
RNC CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-55484

Source date

April 1, 2026
RNC RIA LLC
Investment adviser

SEC file number

801-134746

Source date

August 14, 2026
ROACH CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-123000

Source date

March 9, 2026
ROAD CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-122888

Source date

March 31, 2026
ROAN CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-135438

Source date

August 7, 2026
ROAN HFH, LP
Exempt reporting adviser

SEC file number

802-134479

Source date

March 21, 2026
ROARING BLUE LION CAPITAL MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-98343

Source date

February 18, 2026
ROARING BROOK HOLDINGS LLC
Exempt reporting adviser

SEC file number

802-131475

Source date

March 26, 2026
ROARK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73653

Source date

March 31, 2026
ROBASCIOTTI & ASSOCIATES , INC.
Investment adviser

SEC file number

801-113385

Source date

July 7, 2026
ROBBINS FARLEY LLC
Investment adviser

SEC file number

801-118427

Source date

March 22, 2026
ROBBINS FINANCIAL ADVISORY SERVICE INC
Investment adviser

SEC file number

801-38204

Source date

July 29, 2026
ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC
Investment adviser

SEC file number

801-54142

Source date

June 3, 2026
ROBERT HARRELL INCORPORATED
Investment adviser

SEC file number

801-40048

Source date

March 6, 2026
ROBERT L. BENDER, INC. DBA ROBERT BENDER & ASSOCIATES
Investment adviser

SEC file number

801-14216

Source date

February 10, 2026
ROBERT PRISKE, LLC
Investment adviser

SEC file number

801-56373

Source date

March 6, 2026
ROBERT W. BAIRD & CO. INCORPORATED
Investment adviser

SEC file number

801-7571

Source date

September 1, 2026
ROBERTS CAPITAL ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-119119

Source date

March 27, 2026
ROBERTS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-118928

Source date

March 17, 2026
ROBERTS, GLORE & CO.
Investment adviser

SEC file number

801-20667

Source date

March 5, 2026
ROBERTSON INVESTMENT MANAGEMENT
Investment adviser

SEC file number

801-120446

Source date

March 31, 2026
ROBERTSON OPPORTUNITY CAPITAL, LLC
Investment adviser

SEC file number

801-65108

Source date

March 31, 2026
ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-111814

Source date

September 4, 2026
ROBINHOOD ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-127371

Source date

June 15, 2026
ROBINHOOD VENTURES DE, LLC
Investment adviser

SEC file number

801-135024

Source date

August 28, 2026
ROBINSON CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-77378

Source date

July 24, 2026
ROBINSON SMITH WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-63290

Source date

August 17, 2026
ROBINSON VALUE MANAGEMENT, LTD.
Investment adviser

SEC file number

801-80568

Source date

February 23, 2026
ROBINSWOOD FINANCIAL LLC
Investment adviser

SEC file number

801-68234

Source date

July 28, 2026
ROBLE, BELKO AND COMPANY, INC.
Investment adviser

SEC file number

801-61829

Source date

March 17, 2026
ROBO ADVISOR, INC.
Investment adviser

SEC file number

801-72066

Source date

April 1, 2026
ROBOCAP ASSET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-135614

Source date

February 19, 2026
ROBOHACK MANAGER, LLC
Exempt reporting adviser

SEC file number

802-132363

Source date

April 20, 2026
ROBOT VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130170

Source date

March 31, 2026
ROBOTTI & COMPANY ADVISORS, LLC
Investment adviser

SEC file number

801-60314

Source date

March 31, 2026
ROC CAPITAL PTY LIMITED
Exempt reporting adviser

SEC file number

802-113949

Source date

September 25, 2026
ROC PARTNERS (HK) LIMITED
Exempt reporting adviser

SEC file number

802-113948

Source date

September 25, 2026
ROC PARTNERS (US) LLC
Investment adviser

SEC file number

801-131317

Source date

September 25, 2026
ROC360 ADVISORS LLC
Investment adviser

SEC file number

801-128209

Source date

April 6, 2026
ROCHESTER INVESTMENTS INC
Investment adviser

SEC file number

801-119583

Source date

March 13, 2026
ROCHESTER WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-131112

Source date

August 20, 2026
ROCK CREEK GROUP LLC
Investment adviser

SEC file number

801-61844

Source date

May 29, 2026
ROCK CREEK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-134659

Source date

March 18, 2026
ROCK HARBOR PARTNERS LLC
Investment adviser

SEC file number

801-127611

Source date

March 27, 2026
ROCK HILL CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-108029

Source date

May 5, 2026
ROCK ISLAND CAPITAL, LLC
Investment adviser

SEC file number

801-76979

Source date

March 26, 2026
ROCK POINT ADVISORS, LLC
Investment adviser

SEC file number

801-62923

Source date

March 24, 2026
ROCK RIVER CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-117729

Source date

March 5, 2026
ROCK SPRINGS CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-78511

Source date

March 24, 2026
ROCKBRIDGE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-129762

Source date

July 16, 2026
ROCKBRIDGE CAPITAL, LLC
Investment adviser

SEC file number

801-74104

Source date

July 8, 2026
ROCKBRIDGE GROWTH EQUITY MANAGEMENT, L.P.
Investment adviser

SEC file number

801-114423

Source date

March 25, 2026
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-60639

Source date

July 14, 2026
ROCKEFELLER & CO. LLC
Investment adviser

SEC file number

801-113009

Source date

March 31, 2026
ROCKEFELLER FINANCIAL LLC
Investment adviser

SEC file number

801-114033

Source date

March 31, 2026
ROCKEFELLER FOUNDATION IMPACT INVESTMENT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-116735

Source date

March 26, 2026
ROCKETSHIP.VC, LLC
Exempt reporting adviser

SEC file number

802-116756

Source date

April 1, 2026
ROCKFENCE INVESTMENT MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-118059

Source date

March 25, 2026
ROCKFORD TOWER ASSET MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-136409

Source date

May 14, 2026
ROCKHAMPTON MANAGEMENT
Exempt reporting adviser

SEC file number

802-77365

Source date

June 29, 2026
ROCKHAMPTON MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-125855

Source date

June 30, 2026
ROCKHILL ADVISORS LLC
Investment adviser

SEC file number

801-120591

Source date

February 25, 2026
ROCKIES VENTURE ADVISER, LLC.
Exempt reporting adviser

SEC file number

802-110073

Source date

April 1, 2026
ROCKINGSTONE ADVISORS LLC
Investment adviser

SEC file number

801-77696

Source date

March 19, 2026
ROCKLAND CAPITAL, LP
Investment adviser

SEC file number

801-73791

Source date

March 30, 2026
ROCKLINE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-127867

Source date

September 4, 2026
ROCKPOINT GROUP, L.L.C.
Investment adviser

SEC file number

801-73890

Source date

March 31, 2026
ROCKPORT WEALTH, LLC
Investment adviser

SEC file number

801-126796

Source date

May 29, 2026
ROCKSTART MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-129462

Source date

March 9, 2026
ROCKWALL WEALTH MANAGEMENT INC
Investment adviser

SEC file number

801-135636

Source date

June 15, 2026
ROCKWOOD CAPITAL, LLC
Investment adviser

SEC file number

801-73731

Source date

June 30, 2026
ROCKWOOD EQUITY PARTNERS LLC
Investment adviser

SEC file number

801-126003

Source date

March 31, 2026
ROCKWOOD WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-69884

Source date

July 16, 2026
ROCKY HILL ADVISORS INC.
Investment adviser

SEC file number

801-135804

Source date

May 27, 2026
ROD CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119675

Source date

March 19, 2026
RODGERS & ASSOCIATES, LLC
Investment adviser

SEC file number

801-62118

Source date

March 30, 2026
RODGERS BROTHERS, INC.
Investment adviser

SEC file number

801-61034

Source date

June 23, 2026
ROE INVESTMENT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132152

Source date

February 6, 2026
ROEHL & YI INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-56145

Source date

March 20, 2026
ROFFMAN MILLLER ASSOCIATES INC
Investment adviser

SEC file number

801-38491

Source date

August 25, 2026
ROFI LLC
Investment adviser

SEC file number

801-135563

Source date

July 29, 2026
ROG IX, LLC
Investment adviser

SEC file number

801-116760

Source date

March 26, 2026
ROG VI L.L.C.
Investment adviser

SEC file number

801-113728

Source date

March 27, 2026
ROGAN & ASSOCIATES, INC.
Investment adviser

SEC file number

801-69994

Source date

May 15, 2026
ROGER WITTLIN INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-121381

Source date

March 23, 2026
ROGERS INVESTMENT ADVISORS K.K.
Exempt reporting adviser

SEC file number

802-75654

Source date

March 30, 2026
ROGERS WEALTH GROUP, INC.
Investment adviser

SEC file number

801-51602

Source date

March 17, 2026
ROGUE FUNDS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137216

Source date

August 3, 2026
ROGUE INVESTMENT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131856

Source date

March 2, 2026
ROHA GROUP INC.
Exempt reporting adviser

SEC file number

802-117608

Source date

March 24, 2026
ROHATI PRIVATE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134283

Source date

March 10, 2026
ROI FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-121903

Source date

March 30, 2026
ROI FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-136651

Source date

June 29, 2026
ROKOS CAPITAL MANAGEMENT (US) LP
Investment adviser

SEC file number

801-119331

Source date

August 26, 2026
ROKOS CAPITAL MANAGEMENT LLP
Investment adviser

SEC file number

801-126230

Source date

June 29, 2026
ROLAND CAPITAL GROUP, LLC
Exempt reporting adviser

SEC file number

802-123393

Source date

March 26, 2026
ROLEK WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-129490

Source date

February 24, 2026
ROLLINS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-78491

Source date

March 25, 2026
ROLLINS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-120482

Source date

April 14, 2026
ROMAN BUTLER FULLERTON & CO
Investment adviser

SEC file number

801-20351

Source date

August 19, 2026
ROMANO BROTHERS AND COMPANY
Investment adviser

SEC file number

801-27061

Source date

February 19, 2026
ROMARK CREDIT ADVISORS LP
Investment adviser

SEC file number

801-114216

Source date

March 26, 2026
ROMSPEN INVESTMENT LP
Exempt reporting adviser

SEC file number

802-117989

Source date

March 25, 2026
ROMULUS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-78864

Source date

March 9, 2026
RON CARAZO AND ASSOCIATES, L.L.C.
Investment adviser

SEC file number

801-136983

Source date

September 11, 2026
RONDINE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-112098

Source date

May 18, 2026
RONIN EQUITY PARTNERS LLC
Investment adviser

SEC file number

801-126214

Source date

March 25, 2026
RONIT CAPITAL LLP
Exempt reporting adviser

SEC file number

802-78340

Source date

June 9, 2026
ROO CAPITAL MANAGEMENT I, LLC
Exempt reporting adviser

SEC file number

802-129532

Source date

July 21, 2026
ROOF EIDAM MAYCOCK PERALTA LLC
Investment adviser

SEC file number

801-53480

Source date

February 25, 2026
ROOKWOOD WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130111

Source date

April 8, 2026
ROOM40 CAPITAL LLC
Investment adviser

SEC file number

801-133994

Source date

May 13, 2026
ROONEY CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-67186

Source date

March 24, 2026
ROOSEVELT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127033

Source date

March 19, 2026
ROOSEVELT MANAGEMENT COMPANY LLC
Investment adviser

SEC file number

801-73754

Source date

June 2, 2026
ROOSTER EQUITY MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-137078

Source date

July 14, 2026
ROOT CAPITAL - GEST�O DE RECURSOS LTDA.
Investment adviser

SEC file number

801-126772

Source date

March 30, 2026
ROOT FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-125945

Source date

August 28, 2026
ROOT VENTURES MANAGER, LLC
Exempt reporting adviser

SEC file number

802-132018

Source date

May 26, 2026
ROOTED FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-132354

Source date

April 28, 2026
ROOTED WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-121129

Source date

March 30, 2026
ROPPEL CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-135964

Source date

May 12, 2026