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 79 of 95

SLP WEALTH LLC
Investment adviser

SEC file number

801-127646

Source date

August 24, 2026
SLR CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-68710

Source date

March 31, 2026
SLR SECURED LENDING PARTNERS, LLC
Investment adviser

SEC file number

801-136840

Source date

June 25, 2026
SLT HOLDINGS LLC
Investment adviser

SEC file number

801-129050

Source date

April 29, 2026
SLW INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-130867

Source date

June 16, 2026
SLW MANAGEMENT COMPANY LLC
Investment adviser

SEC file number

801-130088

Source date

March 30, 2026
SLWA, LLC
Investment adviser

SEC file number

801-119019

Source date

March 13, 2026
SMA CAPITAL LLC
Investment adviser

SEC file number

801-132287

Source date

March 30, 2026
SMALL ENTERPRISE ASSISTANCE FUNDS
Investment adviser

SEC file number

801-74158

Source date

March 30, 2026
SMALLWOOD WEALTH INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-110658

Source date

March 13, 2026
SMART MONEY GROUP, LLC
Investment adviser

SEC file number

801-107979

Source date

August 28, 2026
SMART PORTFOLIOS, LLC
Investment adviser

SEC file number

801-67772

Source date

March 27, 2026
SMART WEALTH, LLC
Investment adviser

SEC file number

801-122372

Source date

August 31, 2026
SMARTADVISOR LLC
Investment adviser

SEC file number

801-125996

Source date

March 19, 2026
SMARTASSET ADVISORS LLC
Investment adviser

SEC file number

801-118374

Source date

March 20, 2026
SMARTGATEVC LLC
Exempt reporting adviser

SEC file number

802-130426

Source date

March 31, 2026
SMARTHARVEST PORTFOLIOS LLC
Investment adviser

SEC file number

801-131762

Source date

July 2, 2026
SMARTLEAF ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-80910

Source date

March 18, 2026
SMARTPATH ADVISORS, LLC
Investment adviser

SEC file number

801-119877

Source date

August 5, 2026
SMARTX ADVISORY SOLUTIONS LLC
Investment adviser

SEC file number

801-113795

Source date

September 4, 2026
SMASH VENTURES MANAGEMENT COMPANY LP
Investment adviser

SEC file number

801-119092

Source date

May 29, 2026
SMB FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-116704

Source date

February 26, 2026
SMBC ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-136399

Source date

September 25, 2026
SMEAD CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-67839

Source date

March 30, 2026
SMEDLEY FINANCIAL SERVICES INC
Investment adviser

SEC file number

801-17207

Source date

July 29, 2026
SMH CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-54089

Source date

March 19, 2026
SMI ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-64882

Source date

January 15, 2026
SMITH & CO ADVISORY LLC
Investment adviser

SEC file number

801-131244

Source date

May 5, 2026
SMITH & HOWARD WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-56734

Source date

August 31, 2026
SMITH AFFILIATED CAPITAL CORP
Investment adviser

SEC file number

801-17037

Source date

March 30, 2026
SMITH ASSET MANAGEMENT CO., LLC
Investment adviser

SEC file number

801-81169

Source date

May 5, 2026
SMITH BROTHERS FINANCIAL, LLC
Investment adviser

SEC file number

801-126687

Source date

August 30, 2026
SMITH BRUER ADVISORS, LLC
Investment adviser

SEC file number

801-116727

Source date

March 4, 2026
SMITH CAPITAL INVESTORS, LLC
Investment adviser

SEC file number

801-113172

Source date

February 27, 2026
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-71492

Source date

March 27, 2026
SMITH GROUP ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-120777

Source date

July 10, 2026
SMITH MOORE & CO.
Investment adviser

SEC file number

801-68175

Source date

March 31, 2026
SMITH PARTNERS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-120950

Source date

March 10, 2026
SMITH POINT CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131092

Source date

March 31, 2026
SMITH SHELLNUT WILSON LLC
Investment adviser

SEC file number

801-49071

Source date

September 9, 2026
SMITH THORNTON ADVISORS, LLC
Investment adviser

SEC file number

801-120351

Source date

August 25, 2026
SMITH W B & CO INC
Investment adviser

SEC file number

801-29558

Source date

March 24, 2026
SMITH, BRIAN DAVID
Investment adviser

SEC file number

801-136439

Source date

June 1, 2026
SMITH, BROWN & GROOVER, INC.
Investment adviser

SEC file number

801-117531

Source date

March 16, 2026
SMITH, SALLEY & ASSOCIATES, LLC
Investment adviser

SEC file number

801-62538

Source date

September 9, 2026
SMITHBRIDGE ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-53667

Source date

September 3, 2026
SMITHR CAPITAL INC
Exempt reporting adviser

SEC file number

802-135311

Source date

January 12, 2026
SMOAK CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132332

Source date

February 13, 2026
SMP ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-121051

Source date

March 30, 2026
SMP FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-134873

Source date

September 24, 2026
SNAK VENTURE PARTNERS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-131901

Source date

March 31, 2026
SNAPDRAGON CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-118771

Source date

March 31, 2026
SNIDER RETIREMENT STRATEGIES, INC.
Investment adviser

SEC file number

801-69025

Source date

September 21, 2026
SNOW CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136803

Source date

June 22, 2026
SNOW FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-63360

Source date

March 28, 2026
SNOW PEAK CAPITAL, LLC
Investment adviser

SEC file number

801-137174

Source date

July 28, 2026
SNOW PHIPPS GROUP, LLC
Investment adviser

SEC file number

801-73712

Source date

May 12, 2026
SNOWCAP CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-69447

Source date

March 27, 2026
SNOWDEN CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-72332

Source date

August 18, 2026
SNOWHAWK LP
Investment adviser

SEC file number

801-129076

Source date

June 12, 2026
SNOWPOINT VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-128741

Source date

March 31, 2026
SNOWWATER INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-120047

Source date

March 27, 2026
SNR VENTURES MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-126596

Source date

June 17, 2026
SNYDER ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-137193

Source date

July 31, 2026
SNYDER CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-54641

Source date

March 20, 2026
S�O PEDRO CAPITAL INVESTIMENTOS S.A.
Exempt reporting adviser

SEC file number

802-113404

Source date

March 30, 2026
SOA WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-119603

Source date

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

SEC file number

801-108028

Source date

March 30, 2026
SOARING INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-135170

Source date

March 31, 2026
SOCIAL INVESTMENT MANAGERS AND ADVISORS, LLC
Investment adviser

SEC file number

801-119020

Source date

August 17, 2026
SOCIAL LEVERAGE ADVISORS, LLC
Investment adviser

SEC file number

801-126232

Source date

March 17, 2026
SOCIALTRADER.AI INC.
Investment adviser

SEC file number

801-128322

Source date

March 31, 2026
SOCIETY HILL CAPITAL ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-137116

Source date

July 17, 2026
SOCORRO ASSET MANAGEMENT, L.P.
Investment adviser

SEC file number

801-116849

Source date

March 27, 2026
SODERLING CAPITAL LLC
Exempt reporting adviser

SEC file number

802-127713

Source date

March 18, 2026
SOFI WEALTH LLC
Investment adviser

SEC file number

801-78185

Source date

July 31, 2026
SOFINNOVA INVESTMENTS, INC.
Investment adviser

SEC file number

801-110134

Source date

March 27, 2026
SOFINNOVA PARTNERS SAS
Exempt reporting adviser

SEC file number

802-76686

Source date

March 27, 2026
SOFTBANK, INC.
Exempt reporting adviser

SEC file number

802-76193

Source date

June 29, 2026
SOFTVEST ADVISORS, LLC
Investment adviser

SEC file number

801-114671

Source date

March 31, 2026
SOHO SQUARE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-117336

Source date

June 29, 2026
SOHO SQUARE CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-137228

Source date

August 5, 2026
SOHRA PEAK INVESTMENT MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134825

Source date

February 9, 2026
SOJA VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137162

Source date

July 27, 2026
SOJE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-124909

Source date

April 1, 2026
SOJOURNER CONSUMER PARTNERS, LP.
Exempt reporting adviser

SEC file number

802-129595

Source date

March 26, 2026
SOLA IMPACT GROUP, LLC
Investment adviser

SEC file number

801-121516

Source date

March 27, 2026
SOLACE CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-81161

Source date

March 23, 2026
SOLAMERE CAPITAL, LLC
Investment adviser

SEC file number

801-73829

Source date

July 7, 2026
SOLANO WEALTH INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-130590

Source date

February 9, 2026
SOLARI CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137011

Source date

July 2, 2026
SOLARIS CAPITAL ADVISORS (HK) LIMITED
Exempt reporting adviser

SEC file number

802-119913

Source date

March 19, 2026
SOLAS BIOVENTURES MANAGEMENT, LLC
Investment adviser

SEC file number

801-134738

Source date

July 30, 2026
SOLAS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-73861

Source date

March 27, 2026
SOLASTA NEXUS, INC.
Exempt reporting adviser

SEC file number

802-137227

Source date

September 1, 2026
SOLASTA VENTURES, INC.
Exempt reporting adviser

SEC file number

802-117496

Source date

May 5, 2026
SOLE SHIPPING SO GP II LIMITED
Exempt reporting adviser

SEC file number

802-113315

Source date

April 21, 2026
SOLE SHIPPING SO GP III LIMITED
Exempt reporting adviser

SEC file number

802-117824

Source date

April 30, 2026
SOLE SHIPPING SO GP IV LIMITED
Exempt reporting adviser

SEC file number

802-136319

Source date

April 21, 2026
SOLE SOURCE CAPITAL LLC
Investment adviser

SEC file number

801-115305

Source date

March 30, 2026
SOLEL PARTNERS LP
Investment adviser

SEC file number

801-117394

Source date

March 24, 2026
SOLENE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137385

Source date

August 26, 2026
SOLERA CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-134483

Source date

March 26, 2026
SOLEUS CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-118942

Source date

April 27, 2026
SOLID POINT WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-126623

Source date

August 21, 2026
SOLID STATE WEALTH ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-137164

Source date

September 24, 2026
SOLIDARITY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-127280

Source date

March 26, 2026
SOLIDARITY WEALTH, LLC
Investment adviser

SEC file number

801-122536

Source date

August 6, 2026
SOLIST WEALTH, LLC
Investment adviser

SEC file number

801-136668

Source date

August 3, 2026
SOLITUDE FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-117235

Source date

September 10, 2026
SOLIVERA CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-134350

Source date

June 3, 2026
SOLLINDA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-127144

Source date

September 8, 2026
SOLOMAN HILL I LLC
Investment adviser

SEC file number

801-121269

Source date

January 28, 2026
SOLOMON API LLC
Investment adviser

SEC file number

801-113882

Source date

September 22, 2026
SOLOMON HESS SBA MANAGEMENT LLC
Investment adviser

SEC file number

801-73744

Source date

April 28, 2026
SOLPACIFIC, LLC
Investment adviser

SEC file number

801-126254

Source date

March 31, 2026
SOLSTEIN CAPITAL, LLC
Investment adviser

SEC file number

801-112859

Source date

March 24, 2026
SOLSTICE GUARD CAPITAL LLC
Investment adviser

SEC file number

801-136640

Source date

June 2, 2026
SOLTIS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-71833

Source date

July 9, 2026
SOLUM PARTNERS LP
Investment adviser

SEC file number

801-119432

Source date

June 15, 2026
SOLUS ALTERNATIVE ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-67953

Source date

March 31, 2026
SOLUTIONS 4 WEALTH, LTD
Investment adviser

SEC file number

801-121358

Source date

September 23, 2026
SOLYCO CAPITAL LLC
Investment adviser

SEC file number

801-135407

Source date

September 10, 2026
SOLYCO WEALTH LLC
Investment adviser

SEC file number

801-136001

Source date

September 21, 2026
SOMA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-122420

Source date

July 29, 2026
SOMA EQUITY PARTNERS, LP
Investment adviser

SEC file number

801-108610

Source date

March 27, 2026
SOMA VENTURES GROUP, LLC
Exempt reporting adviser

SEC file number

802-137468

Source date

September 7, 2026
SOMAR CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-108052

Source date

March 26, 2026
SOMERSET ADVISORY, LLC
Investment adviser

SEC file number

801-137353

Source date

August 31, 2026
SOMERSET GROUP LLC
Investment adviser

SEC file number

801-73020

Source date

March 19, 2026
SOMNIO FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-129727

Source date

February 17, 2026
SOMPO ASSET MANAGEMENT CO., LTD.
Investment adviser

SEC file number

801-110538

Source date

June 12, 2026
SONA ASSET MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-133793

Source date

June 26, 2026
SONA ASSET MANAGEMENT (UK) LLP
Exempt reporting adviser

SEC file number

802-117783

Source date

June 29, 2026
SONA ASSET MANAGEMENT (US) LLC
Investment adviser

SEC file number

801-112410

Source date

July 9, 2026
SONAMU GROUP LP
Exempt reporting adviser

SEC file number

802-127115

Source date

September 24, 2026
SONAS FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-130755

Source date

March 27, 2026
SONATA CAPITAL GROUP INC
Investment adviser

SEC file number

801-57515

Source date

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

SEC file number

802-122865

Source date

March 30, 2026
SONE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-130664

Source date

March 26, 2026
SONEN CAPITAL LLC
Investment adviser

SEC file number

801-72926

Source date

May 6, 2026
SONIC GP LLC
Investment adviser

SEC file number

801-126663

Source date

March 25, 2026
SONNET, LLC
Investment adviser

SEC file number

801-133807

Source date

March 25, 2026
SONOMA ALLOCATIONS LLC
Investment adviser

SEC file number

801-132529

Source date

April 16, 2026
SONOMA BRANDS PARTNERS II, LLC
Investment adviser

SEC file number

801-119128

Source date

March 30, 2026
SONOMA PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-125022

Source date

September 16, 2026
SONOMA WEST LLC
Investment adviser

SEC file number

801-127546

Source date

March 27, 2026
SONY VENTURES CORPORATION
Exempt reporting adviser

SEC file number

802-126892

Source date

June 22, 2026
SOONER PRIVATE FINANCIAL LLC
Investment adviser

SEC file number

801-135787

Source date

September 1, 2026
SOOTCHY SECURITIES, LLC
Investment adviser

SEC file number

801-118593

Source date

March 30, 2026
SOPHIS INVESTMENTS LLC
Investment adviser

SEC file number

801-114611

Source date

July 29, 2026
SOPHRON CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-130453

Source date

March 28, 2026
SORA INVESTORS LLC
Investment adviser

SEC file number

801-122700

Source date

January 28, 2026
SORENSON IMPACT ADVISORY, LLC
Investment adviser

SEC file number

801-127087

Source date

March 26, 2026
SOROBAN CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-73573

Source date

March 27, 2026
SORTIS FUND MANAGER, LLC
Investment adviser

SEC file number

801-123077

Source date

March 30, 2026
SORYN IP CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-137151

Source date

July 23, 2026
SOSV INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-108494

Source date

March 23, 2026
SOUDERS FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-113263

Source date

July 24, 2026
SOUL VENTURES GROUP HOLDINGS LIMITED
Exempt reporting adviser

SEC file number

802-136775

Source date

June 17, 2026
SOULENCE WEALTH MANAGEMENT II LLC
Investment adviser

SEC file number

801-135451

Source date

June 2, 2026
SOUND & SECURE ADVISORS LLC
Investment adviser

SEC file number

801-126332

Source date

March 27, 2026
SOUND ADVISORY, LLC
Investment adviser

SEC file number

801-131907

Source date

August 13, 2026
SOUND CAPITAL SOLUTIONS LLC
Investment adviser

SEC file number

801-129056

Source date

September 23, 2026
SOUND DEVELOPMENT, LLC
Exempt reporting adviser

SEC file number

802-108774

Source date

March 30, 2026
SOUND FINANCIAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-132274

Source date

March 4, 2026
SOUND FINANCIAL STRATEGIES GROUP, LLC
Investment adviser

SEC file number

801-108894

Source date

March 19, 2026
SOUND FINANCIAL, LLC
Investment adviser

SEC file number

801-125761

Source date

July 30, 2026
SOUND FUTURES LLC
Investment adviser

SEC file number

801-135395

Source date

February 11, 2026
SOUND INCOME STRATEGIES, LLC
Investment adviser

SEC file number

801-80425

Source date

January 23, 2026
SOUND INVESTMENT MANAGEMENT INC
Investment adviser

SEC file number

801-46570

Source date

April 14, 2026
SOUND LEGACY WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135509

Source date

April 16, 2026
SOUND MARK PARTNERS, LLC
Investment adviser

SEC file number

801-78564

Source date

March 27, 2026
SOUND POINT CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-72515

Source date

March 31, 2026
SOUND POINT CLO C-MOA, LLC
Investment adviser

SEC file number

801-114824

Source date

March 31, 2026
SOUND POINT COMMERCIAL REAL ESTATE FINANCE LLC
Investment adviser

SEC file number

801-120570

Source date

April 30, 2026
SOUND POINT LUNA LLC
Investment adviser

SEC file number

801-62330

Source date

March 31, 2026
SOUND POINT MERIDIAN MANAGEMENT COMPANY LLC
Investment adviser

SEC file number

801-129702

Source date

March 31, 2026
SOUND PORTFOLIO ADVISORS, LLC
Investment adviser

SEC file number

801-120415

Source date

February 17, 2026
SOUND SHORE MANAGEMENT INC
Investment adviser

SEC file number

801-13549

Source date

April 9, 2026
SOUND STEWARDSHIP, LLC
Investment adviser

SEC file number

801-110568

Source date

March 12, 2026
SOUND VIEW WEALTH ADVISORS GROUP, LLC
Investment adviser

SEC file number

801-114892

Source date

March 29, 2026
SOUNDCORE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-113701

Source date

March 31, 2026
SOUNDCORE CAPITAL PARTNERS, LP
Investment adviser

SEC file number

801-131044

Source date

May 6, 2026
SOUNDPATH RETIREMENT STRATEGIES, LLC
Investment adviser

SEC file number

801-134649

Source date

September 3, 2026
SOUNDVIEW ADVISORS, INC.
Investment adviser

SEC file number

801-68960

Source date

March 24, 2026
SOUNDWATCH CAPITAL, LLC
Investment adviser

SEC file number

801-80617

Source date

May 13, 2026
SOUNION CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-79818

Source date

March 27, 2026
SOURCE CAPITAL, LLC
Investment adviser

SEC file number

801-130796

Source date

March 31, 2026
SOURCEROCK GROUP LLC
Investment adviser

SEC file number

801-121057

Source date

April 2, 2026
SOUTH AFRICA ALPHA CAPITAL MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-107876

Source date

June 29, 2026
SOUTH BAY FINANCIAL PARTNERS GROUP, INC.
Investment adviser

SEC file number

801-110198

Source date

July 17, 2026
SOUTH BAY PARTNERS LLC
Exempt reporting adviser

SEC file number

802-129262

Source date

May 27, 2026
SOUTH COVE FINANCIAL, LLC
Investment adviser

SEC file number

801-131362

Source date

September 2, 2026
SOUTH GEORGIA CAPITAL, LLC
Investment adviser

SEC file number

801-69943

Source date

March 26, 2026
SOUTH LAKEVIEW, LLC
Investment adviser

SEC file number

801-72281

Source date

March 19, 2026
SOUTH LOOP VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136073

Source date

March 30, 2026
SOUTH OCEAN MANAGEMENT LTD.
Investment adviser

SEC file number

801-41804

Source date

March 27, 2026
SOUTH PARK COMMONS MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-113474

Source date

March 30, 2026
SOUTH SHORE CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-96332

Source date

March 6, 2026
SOUTH SHORE INVESTMENT SERVICES LLC
Investment adviser

SEC file number

801-135966

Source date

March 25, 2026
SOUTH STREET ADVISORS, LLC
Investment adviser

SEC file number

801-55383

Source date

March 31, 2026
SOUTH TEXAS CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-136578

Source date

June 24, 2026
SOUTHBRIDGE ADVISORS, LLC
Investment adviser

SEC file number

801-117769

Source date

March 30, 2026
SOUTHCOL ADVISORS, LLC
Investment adviser

SEC file number

801-118783

Source date

February 23, 2026
SOUTHEAST ASSET ADVISORS, LLC
Investment adviser

SEC file number

801-42952

Source date

May 21, 2026
SOUTHEAST CAPITAL MANAGEMENT LTD
Investment adviser

SEC file number

801-132955

Source date

October 7, 2025
SOUTHEASTERN ASSET MANAGEMENT INC.
Investment adviser

SEC file number

801-11123

Source date

March 27, 2026
SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (SINGAPORE) PTE. LTD
Investment adviser

SEC file number

801-69906

Source date

March 30, 2026
SOUTHERN CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-112593

Source date

May 22, 2026
SOUTHERN CAPITAL GROUP PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-77873

Source date

March 30, 2026
SOUTHERN CAPITAL SERVICES, INC.
Investment adviser

SEC file number

801-111685

Source date

March 23, 2026
SOUTHERN CROSS GROUP MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-128903

Source date

March 26, 2026
SOUTHERN CROSS INVESTMENT PARTNERS SL.
Exempt reporting adviser

SEC file number

802-132076

Source date

March 10, 2026
SOUTHERN EQUITY ADVISORS LLC
Investment adviser

SEC file number

801-130324

Source date

March 20, 2026
SOUTHERN FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-67489

Source date

February 26, 2026
SOUTHERN RIDGES CAPITAL PTE. LTD.
Exempt reporting adviser

SEC file number

802-114387

Source date

March 23, 2026
SOUTHERNSUN ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-71849

Source date

July 29, 2026
SOUTHFIELD CAPITAL LP
Investment adviser

SEC file number

801-113656

Source date

March 31, 2026
SOUTHLAND EQUITY PARTNERS, LLC.
Investment adviser

SEC file number

801-71977

Source date

July 14, 2026
SOUTHOCEAN CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-80327

Source date

March 31, 2026
SOUTHPAW ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-64402

Source date

March 27, 2026
SOUTHPAW CP MANAGER LP
Investment adviser

SEC file number

801-135943

Source date

August 21, 2026
SOUTHPOINT CAPITAL ADVISORS LP
Investment adviser

SEC file number

801-74264

Source date

March 31, 2026
SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-68863

Source date

March 24, 2026
SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-77650

Source date

July 1, 2026
SOUTHWEST INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-120406

Source date

March 30, 2026
SOUTHWEST MONEY MANAGEMENT INC
Investment adviser

SEC file number

801-15538

Source date

February 23, 2026
SOUTHWESTERN MONEY MANAGEMENT LLC
Investment adviser

SEC file number

801-117271

Source date

March 30, 2026
SOUTHWIND ASSOCIATES OF NJ INC.
Investment adviser

SEC file number

801-57412

Source date

March 18, 2026
SOVEREIGN BAY ADVISORS LLC
Exempt reporting adviser

SEC file number

802-133987

Source date

March 27, 2026
SOVEREIGN CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-75519

Source date

May 13, 2026
SOVEREIGN FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-114529

Source date

June 5, 2026
SOVEREIGN INVESTMENT ADVISORS LLC
Investment adviser

SEC file number

801-80942

Source date

June 4, 2026
SOVEREIGN WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-98346

Source date

July 17, 2026
SOVEREIGN'S CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-126307

Source date

March 30, 2026
SOVIERO ASSET MANAGEMENT, LP
Investment adviser

SEC file number

801-121898

Source date

March 23, 2026
SOVRAN ADVISORS, LLC
Investment adviser

SEC file number

801-129342

Source date

September 14, 2026
SOWA FINANCIAL GROUP INC
Investment adviser

SEC file number

801-43008

Source date

February 12, 2026
SOWELL FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-63991

Source date

September 22, 2026
SOZO VENTURES LLC
Exempt reporting adviser

SEC file number

802-110314

Source date

March 24, 2026
SP ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-126698

Source date

March 30, 2026
SP CAPITAL PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-113499

Source date

August 11, 2026
SP FUNDS MANAGEMENT LLC
Investment adviser

SEC file number

801-137056

Source date

July 20, 2026
SP VENTURES GESTORA DE RECURSOS LTDA
Exempt reporting adviser

SEC file number

802-132087

Source date

March 9, 2026
SPACE CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-134626

Source date

March 23, 2026
SPACE SUMMIT CAPITAL LLC
Exempt reporting adviser

SEC file number

802-123399

Source date

March 11, 2026
SPACECADET VENTURES, LLC
Exempt reporting adviser

SEC file number

802-135996

Source date

March 26, 2026
SPACEFARING VENTURES LLC
Exempt reporting adviser

SEC file number

802-136195

Source date

April 3, 2026
SPAHN WEALTH & RETIREMENT LLC
Investment adviser

SEC file number

801-125766

Source date

March 23, 2026