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 74 of 96

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

October 21, 2026
ROG VI L.L.C.
Investment adviser

SEC file number

801-113728

Source date

October 21, 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

October 7, 2026
ROKOS CAPITAL MANAGEMENT (US) LP
Investment adviser

SEC file number

801-119331

Source date

October 20, 2026
ROKOS CAPITAL MANAGEMENT LLP
Investment adviser

SEC file number

801-126230

Source date

October 20, 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

November 3, 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

October 27, 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

October 9, 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

November 2, 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
ROSCI LAMB, LLC
Investment adviser

SEC file number

801-133777

Source date

January 12, 2026
ROSCOMMON ANALYTICS LLC
Investment adviser

SEC file number

801-131038

Source date

July 10, 2026
ROSE CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-80385

Source date

August 12, 2026
ROSE GROVE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73698

Source date

March 10, 2026
ROSE PARK ADVISORS, LLC
Investment adviser

SEC file number

801-100483

Source date

August 27, 2026
ROSE SMART GROWTH INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-73867

Source date

March 26, 2026
ROSECAP INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-118154

Source date

March 11, 2026
ROSECLIFF CAPITAL ADVISORY LLC
Investment adviser

SEC file number

801-119344

Source date

March 30, 2026
ROSECLIFF VENTURE MANAGEMENT, LLC
Investment adviser

SEC file number

801-118994

Source date

June 22, 2026
ROSEL WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-112145

Source date

September 28, 2026
ROSEMAWR MANAGEMENT LLC
Investment adviser

SEC file number

801-69789

Source date

June 9, 2026
ROSEMONT EQUITY INVESTMENT FUND GP LLC
Exempt reporting adviser

SEC file number

802-128637

Source date

November 3, 2026
ROSEN GROUP PRIVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130906

Source date

September 30, 2026
ROSENBAUM, LANNY, KEVIN
Investment adviser

SEC file number

801-136467

Source date

June 18, 2026
ROSENBLUM SILVERMAN SUTTON SF INC
Investment adviser

SEC file number

801-21730

Source date

September 24, 2026
ROSENTHAL | HENRY CAPITAL ADVISORS, INC.
Exempt reporting adviser

SEC file number

802-110063

Source date

March 3, 2026
ROSENWALD CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-112520

Source date

June 29, 2026
ROSEROCK CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-132536

Source date

March 10, 2026
ROSEROCK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-120698

Source date

April 30, 2026
ROSETTA CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-80322

Source date

March 23, 2026
ROSS CREEK CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-81102

Source date

June 2, 2026
ROSS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-136561

Source date

June 29, 2026
ROSSBY FINANCIAL, LLC
Investment adviser

SEC file number

801-127370

Source date

July 31, 2026
ROSSER CAPITAL PARTNERS MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-80311

Source date

March 27, 2026
ROSSJOHNSON & ASSOCIATES, LLC
Investment adviser

SEC file number

801-118296

Source date

March 31, 2026
ROSSMORE PRIVATE CAPITAL, LLC
Investment adviser

SEC file number

801-110562

Source date

March 19, 2026
ROSTEN CAPITAL INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-135088

Source date

February 10, 2026
ROTH FINANCIAL PARTNERS LLC
Investment adviser

SEC file number

801-119326

Source date

February 19, 2026
ROTHENBERG VENTURES LLC
Exempt reporting adviser

SEC file number

802-78849

Source date

April 1, 2026
ROTHGUARD LLC
Exempt reporting adviser

SEC file number

802-137296

Source date

August 13, 2026
ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED
Investment adviser

SEC file number

801-128281

Source date

March 26, 2026
ROTHSCHILD & CO INVESTMENT MANAGERS (FKA PO PARTICIPATIONS)
Exempt reporting adviser

SEC file number

802-96178

Source date

March 31, 2026
ROTHSCHILD AND CO WEALTH MANAGEMENT UK LIMITED
Investment adviser

SEC file number

801-72759

Source date

July 30, 2026
ROTHSCHILD CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-73843

Source date

April 17, 2026
ROTHSCHILD FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-136474

Source date

October 30, 2026
ROTHSCHILD INVESTMENT LLC
Investment adviser

SEC file number

801-7395

Source date

October 22, 2026
ROTHSCHILD WEALTH LLC
Investment adviser

SEC file number

801-74818

Source date

October 30, 2026
ROTHWELL INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-133979

Source date

March 30, 2026
ROTR MANAGEMENT COMPANY, INC.
Exempt reporting adviser

SEC file number

802-112384

Source date

June 25, 2026
ROTTER, LAURA INGBER
Investment adviser

SEC file number

801-135816

Source date

October 19, 2026
ROTUNDA CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-117031

Source date

March 27, 2026
ROUBAIX CAPITAL, LLC
Investment adviser

SEC file number

801-100510

Source date

March 26, 2026
ROUND HILL ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-26950

Source date

March 30, 2026
ROUND HILL CAPITAL MARKETS LTD
Exempt reporting adviser

SEC file number

802-118113

Source date

March 30, 2026
ROUND HILL MUSIC LP
Investment adviser

SEC file number

801-100440

Source date

August 21, 2026
ROUND ROCK ADVISORS LLC
Investment adviser

SEC file number

801-108989

Source date

June 22, 2026
ROUND TABLE ADVISORS, LLC
Investment adviser

SEC file number

801-137306

Source date

August 28, 2026
ROUND TABLE CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-122194

Source date

March 30, 2026
ROUND TABLE INVESTMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-137576

Source date

September 22, 2026
ROUND2 INVESTMENT PARTNERS LLC
Investment adviser

SEC file number

801-136849

Source date

July 13, 2026
ROUNDHILL FINANCIAL INC.
Investment adviser

SEC file number

801-114971

Source date

July 24, 2026
ROUNDSHIELD ADVISORS (UK) LIMITED
Exempt reporting adviser

SEC file number

802-119375

Source date

June 16, 2026
ROUNDSHIELD PARTNERS LLP
Exempt reporting adviser

SEC file number

802-79966

Source date

March 31, 2026
ROUNDTABLE HEALTHCARE MANAGEMENT, INC
Investment adviser

SEC file number

801-73397

Source date

March 26, 2026
ROUNDVIEW CAPITAL, LLC
Investment adviser

SEC file number

801-69519

Source date

May 19, 2026
ROUTE 20 PRIVATE WEALTH INC.
Investment adviser

SEC file number

801-130981

Source date

March 31, 2026
ROUTE ONE INVESTMENT COMPANY, L.P.
Investment adviser

SEC file number

801-72235

Source date

March 25, 2026
ROUTEBURN CAPITAL LP
Investment adviser

SEC file number

801-134716

Source date

March 6, 2026
ROVIA ADVISORS LLC
Investment adviser

SEC file number

801-134861

Source date

January 27, 2026
ROVIN CAPITAL LLC
Investment adviser

SEC file number

801-71109

Source date

March 25, 2026
ROW ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-78326

Source date

March 31, 2026
ROW MANAGEMENT GMBH
Exempt reporting adviser

SEC file number

802-137040

Source date

July 9, 2026
ROWLAND MILLER + PARTNERS LLC
Investment adviser

SEC file number

801-99359

Source date

March 3, 2026
ROWLING & ASSOCIATES LLC
Investment adviser

SEC file number

801-118761

Source date

June 9, 2026
ROXBURY FINANCIAL LLC
Investment adviser

SEC file number

801-130093

Source date

February 4, 2026
ROYAL CAPITAL WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-113892

Source date

March 29, 2026
ROYAL FUND MANAGEMENT, LLC
Investment adviser

SEC file number

801-77918

Source date

November 5, 2026
ROYAL HARBOR PARTNERS, LLC
Investment adviser

SEC file number

801-116961

Source date

June 15, 2026
ROYAL OAK FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-114096

Source date

August 5, 2026
ROYAL OAK FINANCIAL GROUP
Investment adviser

SEC file number

801-122701

Source date

August 31, 2026
ROYAL PALMS CAPITAL, LLC
Investment adviser

SEC file number

801-132117

Source date

June 29, 2026
ROYAL STREET VENTURES MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-117501

Source date

March 2, 2026
ROYALE ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-106939

Source date

January 23, 2026
ROYALLY FRANK LLC
Exempt reporting adviser

SEC file number

802-136681

Source date

June 8, 2026
ROYALTY PHARMA MANAGER, LLC
Investment adviser

SEC file number

801-132132

Source date

March 31, 2026
ROYALTY PHARMA SUB-MANAGER, LLC
Investment adviser

SEC file number

801-132133

Source date

May 4, 2026
ROYCE & ASSOCIATES, LP
Investment adviser

SEC file number

801-8268

Source date

February 2, 2026
ROZARIO GLOBAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135317

Source date

May 2, 2026
RP CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-74558

Source date

March 26, 2026
RP INVESTMENT ADVISORS LP
Exempt reporting adviser

SEC file number

802-132233

Source date

August 28, 2026
RP MANAGEMENT, LLC
Investment adviser

SEC file number

801-74235

Source date

March 31, 2026
RPA FINANCIAL, LLC
Investment adviser

SEC file number

801-113540

Source date

June 29, 2026
RPATA, LLC
Investment adviser

SEC file number

801-125001

Source date

March 25, 2026
RPC PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-116685

Source date

March 11, 2026
RPC WEALTH, LLC
Investment adviser

SEC file number

801-137435

Source date

September 15, 2026
RPD FUND MANAGEMENT LLC
Investment adviser

SEC file number

801-122819

Source date

March 27, 2026
RPF CAPITAL LLC
Exempt reporting adviser

SEC file number

802-128932

Source date

March 27, 2026
RPG FAMILY WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-72631

Source date

October 29, 2026
RPG INVESTMENT ADVISORY, LLC
Investment adviser

SEC file number

801-80481

Source date

January 27, 2026
RPM CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-107269

Source date

August 4, 2026
RPM CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-73800

Source date

March 24, 2026
RPM VENTURES III MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-107591

Source date

March 31, 2026
RPO LLC
Investment adviser

SEC file number

801-123109

Source date

April 30, 2026
RPOA ADVISORS, INC.
Investment adviser

SEC file number

801-72262

Source date

September 24, 2026
RPR FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-129861

Source date

February 25, 2026
RPS ADVISORY SOLUTIONS, LLC
Investment adviser

SEC file number

801-119926

Source date

July 15, 2026
RPS MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-118014

Source date

March 31, 2026
RPS RETIREMENT PLAN ADVISORS
Investment adviser

SEC file number

801-123627

Source date

April 29, 2026
RPWM PARTNERS, LLC
Investment adviser

SEC file number

801-137220

Source date

October 29, 2026
RR ADVISORS, LLC
Investment adviser

SEC file number

801-73811

Source date

March 20, 2026
RRA INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-121881

Source date

March 31, 2026
RRE ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-76596

Source date

March 30, 2026
RREEF AMERICA L.L.C.
Investment adviser

SEC file number

801-55209

Source date

November 3, 2026
RRG CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-113452

Source date

July 20, 2026
RRJ MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-75031

Source date

March 23, 2026
RRW SAS
Exempt reporting adviser

SEC file number

802-135521

Source date

February 6, 2026
RRW US, LLC
Exempt reporting adviser

SEC file number

802-111720

Source date

May 20, 2026
RS ADVISORY GROUP, LLC
Exempt reporting adviser

SEC file number

802-124760

Source date

March 27, 2026
RS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-79114

Source date

March 3, 2026
RS FUND MANAGER, LP
Exempt reporting adviser

SEC file number

802-119373

Source date

March 31, 2026
RS ISH ADVISORS LIMITED
Exempt reporting adviser

SEC file number

802-125707

Source date

June 16, 2026
RS PARTNERS (JERSEY) LIMITED, ST HELIER, GENEVA BRANCH
Exempt reporting adviser

SEC file number

802-119374

Source date

March 27, 2026
RS PETRELL & ASSOCIATES, LLC
Investment adviser

SEC file number

801-70011

Source date

February 4, 2026
RSC ASSET MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-129760

Source date

March 31, 2026
RSC INDUSTRIAL ASSET MANAGEMENT GROUP 2, LLC
Investment adviser

SEC file number

801-130005

Source date

March 31, 2026
RSD ADVISORS, LLC
Investment adviser

SEC file number

801-125917

Source date

March 2, 2026
RSG INVESTMENTS LLC
Investment adviser

SEC file number

801-132178

Source date

March 17, 2026
RSII MINERALS LP
Exempt reporting adviser

SEC file number

802-137214

Source date

August 3, 2026
RSIP MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-113974

Source date

March 2, 2026
R-SQUARED ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-123016

Source date

April 6, 2026
RSV MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-113626

Source date

March 30, 2026
RSW INVESTMENTS HOLDINGS, LLC
Investment adviser

SEC file number

801-115302

Source date

March 5, 2026
RTD FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-19015

Source date

February 26, 2026
RTP GLOBAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-121099

Source date

March 19, 2026
RTW FINANCIAL ADVISORS INC
Investment adviser

SEC file number

801-38676

Source date

October 5, 2026
RTW INVESTMENTS LP
Investment adviser

SEC file number

801-78183

Source date

March 30, 2026
RUANE, CUNNIFF & GOLDFARB L.P.
Investment adviser

SEC file number

801-111872

Source date

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

SEC file number

801-74293

Source date

April 25, 2026
RUBEY & RUST CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-107286

Source date

March 12, 2026
RUBICON ADVISORS, GP
Investment adviser

SEC file number

801-109012

Source date

September 23, 2026
RUBICON ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-114919

Source date

February 24, 2026
RUBICON FOUNDERS LLC
Investment adviser

SEC file number

801-122305

Source date

May 8, 2026
RUBICON PARTNERS ADVISORY LIMITED
Exempt reporting adviser

SEC file number

802-119180

Source date

June 29, 2026
RUBICON TECHNOLOGY MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-97338

Source date

March 19, 2026
RUBINBROWN ADVISORS LLC
Investment adviser

SEC file number

801-62021

Source date

August 28, 2026
RUBRIC CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-108413

Source date

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

SEC file number

801-117406

Source date

March 23, 2026
RUDNEY ASSOCIATES, INC.
Investment adviser

SEC file number

801-60080

Source date

March 31, 2026
RUEDI WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-80415

Source date

September 17, 2026
RUFFER AIFM LIMITED
Exempt reporting adviser

SEC file number

802-122091

Source date

July 15, 2026
RUFFER LLP
Investment adviser

SEC file number

801-122307

Source date

October 13, 2026
RUGBY ASSOCIATES, L.L.C.
Exempt reporting adviser

SEC file number

802-128892

Source date

March 12, 2026
RUGGAARD & ASSOCIATES, LLC
Investment adviser

SEC file number

801-43618

Source date

March 30, 2026
RUGGIERO INVESTMENTS, INC.
Investment adviser

SEC file number

801-131800

Source date

October 8, 2026
RULE ONE PARTNERS, LLC
Investment adviser

SEC file number

801-114860

Source date

October 8, 2026
RUNA CAPITAL ADVISORS LIMITED
Exempt reporting adviser

SEC file number

802-109953

Source date

March 16, 2026
RUNDE & CO. LLC
Investment adviser

SEC file number

801-78804

Source date

March 24, 2026
RUNNERSTONE CAPITAL PROPRIETARY LIMITED
Exempt reporting adviser

SEC file number

802-129509

Source date

October 1, 2026
RUNNING OAK CAPITAL LLC
Investment adviser

SEC file number

801-110116

Source date

August 12, 2026
RUNNYMEDE CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-122483

Source date

March 16, 2026
RUNTIDE CAPITAL SPV I GP, LLC
Exempt reporting adviser

SEC file number

802-118032

Source date

March 18, 2026
RUNTIDE CAPITAL SPV II GP, LLC
Exempt reporting adviser

SEC file number

802-124931

Source date

March 18, 2026
RUNWAY GROWTH CAPITAL LLC
Investment adviser

SEC file number

801-108476

Source date

August 14, 2026
RUSH ISLAND MANAGEMENT, LP
Investment adviser

SEC file number

801-112443

Source date

March 27, 2026
RUSHMONT CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-131179

Source date

April 14, 2026
RUSSELL CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-56914

Source date

October 30, 2026
RUSSELL INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-17141

Source date

April 1, 2026
RUSSELL INVESTMENTS CAPITAL, LLC
Investment adviser

SEC file number

801-56576

Source date

March 31, 2026
RUSSELL INVESTMENTS CREDIT ADVISER, LLC
Investment adviser

SEC file number

801-132718

Source date

March 31, 2026
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
Investment adviser

SEC file number

801-60335

Source date

September 2, 2026
RUSSELL INVESTMENTS INFRASTRUCTURE ADVISER, LLC
Investment adviser

SEC file number

801-132719

Source date

March 31, 2026
RUTH ASSET MANAGEMENT CO LLC
Exempt reporting adviser

SEC file number

802-132760

Source date

April 10, 2026
RUTHERFORD ASSET PLANNING, INC.
Investment adviser

SEC file number

801-62324

Source date

February 4, 2026
RUTLAND PARTNERS LLP
Exempt reporting adviser

SEC file number

802-129745

Source date

January 30, 2026
RV CAPITAL AG
Investment adviser

SEC file number

801-80491

Source date

March 25, 2026
RV CAPITAL MANAGEMENT PRIVATE LTD
Investment adviser

SEC file number

801-79896

Source date

March 30, 2026
RVP MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119362

Source date

February 27, 2026
RVW WEALTH LLC
Investment adviser

SEC file number

801-66674

Source date

August 18, 2026
RVX ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-107281

Source date

February 24, 2026
RW BAKER WEALTH MANAGEMENT GROUP LLC
Investment adviser

SEC file number

801-121877

Source date

February 23, 2026
RW INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-107268

Source date

March 11, 2026
RWA ADVISORS, LLC
Investment adviser

SEC file number

801-124963

Source date

March 13, 2026
RWA WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-73098

Source date

May 27, 2026
RWC ASSET ADVISORS (US) LLC
Investment adviser

SEC file number

801-77698

Source date

March 25, 2026
RWC ASSET MANAGEMENT LLP
Investment adviser

SEC file number

801-78533

Source date

March 25, 2026
RWM CAPITAL, LLC
Investment adviser

SEC file number

801-119513

Source date

August 7, 2026
RWQ FINANCIAL MANAGEMENT SERVICES, INC.
Investment adviser

SEC file number

801-120734

Source date

March 26, 2026
RWR INVESTMENTS LLC
Investment adviser

SEC file number

801-136167

Source date

May 7, 2026
RWWM, INC.
Investment adviser

SEC file number

801-69561

Source date

March 31, 2026
RXR ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-73591

Source date

March 31, 2026
RYAN & FRIENDS GP, LTD.
Exempt reporting adviser

SEC file number

802-122149

Source date

March 18, 2026
RYAN ALM ADVISERS, LLC
Investment adviser

SEC file number

801-64714

Source date

January 9, 2026
RYAN FUTURE TECHNOLOGY INC
Exempt reporting adviser

SEC file number

802-135487

Source date

February 4, 2026
RYAN HERITAGE, LLP
Investment adviser

SEC file number

801-122617

Source date

March 27, 2026
RYAN INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-60589

Source date

July 15, 2026
RYAN POAGE & CO., LLC
Investment adviser

SEC file number

801-135837

Source date

June 16, 2026
RYDAR EQUITIES, INC.
Investment adviser

SEC file number

801-130182

Source date

March 13, 2026
RYE BROOK CAPITAL, LLC
Investment adviser

SEC file number

801-119977

Source date

February 3, 2026
RYO GLOBAL MARKETS LIMITED
Exempt reporting adviser

SEC file number

802-134189

Source date

July 20, 2025
RYZOME INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-135589

Source date

June 7, 2026
S & CO., INC.
Investment adviser

SEC file number

801-33273

Source date

March 31, 2026
S & D FINANCIAL, L.L.C.
Investment adviser

SEC file number

801-135117

Source date

May 11, 2026
S & P FINANCIAL, INC.
Investment adviser

SEC file number

801-66205

Source date

March 31, 2026
S & S WEALTH MANAGEMENT, L.P.
Investment adviser

SEC file number

801-126309

Source date

April 1, 2026