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 8 of 95

ARES COMMERCIAL REAL ESTATE MANAGEMENT LLC
Investment adviser

SEC file number

801-72879

Source date

August 26, 2026
ARES FINANCIAL CONSULTING LLC
Investment adviser

SEC file number

801-121211

Source date

August 17, 2026
ARES MANAGEMENT LLC
Investment adviser

SEC file number

801-63800

Source date

August 26, 2026
ARES SYSTEMATIC CREDIT LIMITED
Investment adviser

SEC file number

801-121056

Source date

August 26, 2026
ARETE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-69827

Source date

August 17, 2026
ARETE WEALTH STRATEGISTS, LLC
Investment adviser

SEC file number

801-133899

Source date

March 30, 2026
ARETEX CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-113376

Source date

March 31, 2026
AREX CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-111777

Source date

March 31, 2026
ARG PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-136365

Source date

September 17, 2026
ARGA INVESTMENT MANAGEMENT, LP
Investment adviser

SEC file number

801-77018

Source date

March 30, 2026
ARGAND PARTNERS, LP
Investment adviser

SEC file number

801-106943

Source date

May 21, 2026
ARGENT ADVISORS, INC.
Investment adviser

SEC file number

801-60187

Source date

August 20, 2026
ARGENT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-55903

Source date

March 27, 2026
ARGENT RETIREMENT PLAN ADVISORS, LLC
Investment adviser

SEC file number

801-78568

Source date

March 23, 2026
ARGENT WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-134004

Source date

July 15, 2026
ARGENT WEALTH, LLC
Investment adviser

SEC file number

801-120152

Source date

March 30, 2026
ARGENT47 LLC
Exempt reporting adviser

SEC file number

802-137460

Source date

September 7, 2026
ARGENTARII, LLC
Investment adviser

SEC file number

801-130699

Source date

September 20, 2026
ARGENTEM CREEK PARTNERS LP
Investment adviser

SEC file number

801-106903

Source date

March 31, 2026
ARGENTIC INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-111880

Source date

March 30, 2026
ARGO CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-117689

Source date

March 13, 2026
ARGO INFRASTRUCTURE MANAGEMENT, LP
Investment adviser

SEC file number

801-134554

Source date

April 8, 2026
ARGO INFRASTRUCTURE PARTNERS LP
Investment adviser

SEC file number

801-80796

Source date

May 8, 2026
ARGO MANAGEMENT AND RESEARCH COMPANY, LLC
Investment adviser

SEC file number

801-135238

Source date

August 28, 2026
ARGO WEALTH ADVISORY, LLC
Investment adviser

SEC file number

801-132081

Source date

December 8, 2025
ARGONAUT PRIVATE CAPITAL, LP
Investment adviser

SEC file number

801-107803

Source date

August 20, 2026
ARGONAUTICA PRIVATE WEALTH MANAGEMENT, INC
Investment adviser

SEC file number

801-122660

Source date

April 1, 2026
ARGONNE CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-112705

Source date

May 6, 2026
ARGOS CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-69958

Source date

April 17, 2026
ARGOS GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-114171

Source date

March 24, 2026
ARGOS WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-68097

Source date

September 25, 2026
ARGOS WITYU PARTNERS SA
Exempt reporting adviser

SEC file number

802-74348

Source date

March 30, 2026
ARGOSY CAPITAL GROUP, LLC
Investment adviser

SEC file number

801-73958

Source date

June 30, 2026
ARGOSY-LIONBRIDGE MANAGEMENT, LLC
Investment adviser

SEC file number

801-129107

Source date

September 21, 2026
ARGUS EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-121610

Source date

March 25, 2026
ARGUS INVESTORS' COUNSEL, INC.
Investment adviser

SEC file number

801-2423

Source date

January 26, 2026
ARGYLE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-19780

Source date

March 26, 2026
ARGYLE CAPITAL PARTNERS PTY LTD
Exempt reporting adviser

SEC file number

802-123764

Source date

September 15, 2026
ARGYLE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-121915

Source date

March 11, 2026
ARGYLE STREET MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-135254

Source date

January 2, 2026
ARI GROUP, LLC
Investment adviser

SEC file number

801-111757

Source date

February 25, 2026
ARIA GROWTH PARTNERS LP
Investment adviser

SEC file number

801-133981

Source date

April 30, 2026
ARIA PRIVATE CLIENTS LIMITED
Exempt reporting adviser

SEC file number

802-134546

Source date

June 29, 2026
ARIA WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-110703

Source date

April 1, 2026
ARIA WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-131770

Source date

March 6, 2026
ARIADNE WEALTH MANAGEMENT, LP
Investment adviser

SEC file number

801-106829

Source date

March 27, 2026
ARIAKE CAPITAL INC.
Exempt reporting adviser

SEC file number

802-137375

Source date

August 25, 2026
ARIAM GLOBAL INC.
Investment adviser

SEC file number

801-136677

Source date

June 8, 2026
ARIAS RESOURCE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-72548

Source date

April 1, 2026
ARIEL ALTERNATIVES, LLC
Investment adviser

SEC file number

801-121577

Source date

July 16, 2026
ARIEL INVESTMENTS, LLC
Investment adviser

SEC file number

801-18767

Source date

July 28, 2026
ARIELLE HOLDINGS LLC
Exempt reporting adviser

SEC file number

802-137321

Source date

August 17, 2026
ARIES WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-86180

Source date

March 19, 2026
ARIMATHEA
Investment adviser

SEC file number

801-129748

Source date

March 27, 2026
ARIN RISK ADVISORS LLC
Investment adviser

SEC file number

801-70598

Source date

March 31, 2026
ARINI CAPITAL MANAGEMENT (ME) LIMITED
Exempt reporting adviser

SEC file number

802-134791

Source date

March 31, 2026
ARINI CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-130893

Source date

June 12, 2026
ARINI CAPITAL MANAGEMENT US LLC
Investment adviser

SEC file number

801-130894

Source date

June 12, 2026
ARIOSE CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-107749

Source date

March 30, 2026
ARIS INVESTING LLC
Investment adviser

SEC file number

801-132657

Source date

June 23, 2026
ARIS MANAGEMENT, LLC
Investment adviser

SEC file number

801-126539

Source date

March 31, 2026
ARISAIG PARTNERS (ASIA) PTE LTD
Exempt reporting adviser

SEC file number

802-76008

Source date

July 21, 2026
ARISTA ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-108720

Source date

August 19, 2026
ARISTA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-78190

Source date

September 14, 2026
ARISTEIA CAPITAL, LLC
Investment adviser

SEC file number

801-64502

Source date

March 31, 2026
ARISTIDES CAPITAL LLC
Investment adviser

SEC file number

801-119110

Source date

May 22, 2026
ARISTON SERVICES GROUP, LLC
Investment adviser

SEC file number

801-68830

Source date

March 19, 2026
ARISTOTLE ATLANTIC PARTNERS, LLC
Investment adviser

SEC file number

801-108579

Source date

March 27, 2026
ARISTOTLE CAPITAL BOSTON, LLC
Investment adviser

SEC file number

801-80368

Source date

March 20, 2026
ARISTOTLE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-60014

Source date

April 30, 2026
ARISTOTLE INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-127110

Source date

March 30, 2026
ARISTOTLE PACIFIC CAPITAL, LLC
Investment adviser

SEC file number

801-117402

Source date

March 31, 2026
ARISTOTLE PACIFIC CLO ADVISER III, LLC
Investment adviser

SEC file number

801-135606

Source date

February 18, 2026
ARIXA MANAGEMENT, LLC
Investment adviser

SEC file number

801-132962

Source date

March 29, 2026
ARJUNA CAPITAL, LLC
Investment adviser

SEC file number

801-107908

Source date

March 31, 2026
ARK & TLK INVESTMENTS, LLC
Investment adviser

SEC file number

801-96254

Source date

September 11, 2026
ARK ADVISORS LLC
Investment adviser

SEC file number

801-131956

Source date

January 25, 2026
ARK CAPITAL INVESTMENTS LLC
Investment adviser

SEC file number

801-137360

Source date

August 21, 2026
ARK IMPACT ASSET MANAGEMENT INC.
Exempt reporting adviser

SEC file number

802-137123

Source date

July 20, 2026
ARK INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-79081

Source date

August 24, 2026
ARK ROYAL WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-133920

Source date

March 26, 2026
ARK WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135824

Source date

March 11, 2026
ARK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-123029

Source date

July 16, 2026
ARKA CAPITAL A.M. LTD
Investment adviser

SEC file number

801-135983

Source date

July 23, 2026
ARKADIOS WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-110833

Source date

June 9, 2026
ARKAY VENTURES LLC
Exempt reporting adviser

SEC file number

802-120005

Source date

February 23, 2026
ARKENSTONE LLP
Exempt reporting adviser

SEC file number

802-119456

Source date

March 27, 2026
ARKFELD WEALTH STRATEGIES, L.L.C.
Investment adviser

SEC file number

801-114011

Source date

April 29, 2026
ARKHEON CAPITAL
Exempt reporting adviser

SEC file number

802-137153

Source date

July 23, 2026
ARKHOUSE MANAGEMENT CO. LP
Investment adviser

SEC file number

801-130824

Source date

June 16, 2026
ARKKAN CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-79493

Source date

March 18, 2026
ARKOS GLOBAL ADVISORS, LLC
Investment adviser

SEC file number

801-110406

Source date

May 12, 2026
ARKVIEW CAPITAL, L.P.
Investment adviser

SEC file number

801-130706

Source date

March 27, 2026
ARLEN CAPITAL, LLC
Investment adviser

SEC file number

801-63038

Source date

February 26, 2026
ARLEN HOUSE MANAGEMENT LTD.
Exempt reporting adviser

SEC file number

802-135392

Source date

January 23, 2026
ARLES ADVISORS INC
Exempt reporting adviser

SEC file number

802-75934

Source date

March 26, 2026
ARLINGTON CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-79318

Source date

March 18, 2026
ARLINGTON FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-107857

Source date

February 25, 2026
ARLINGTON MANAGEMENT EMPLOYEES, LLC
Investment adviser

SEC file number

801-73842

Source date

March 31, 2026
ARLINGTON PARTNERS LLC
Investment adviser

SEC file number

801-57250

Source date

March 26, 2026
ARLON ADVISOR LLC
Investment adviser

SEC file number

801-73893

Source date

June 29, 2026
ARM FINANCIAL LLC
Investment adviser

SEC file number

801-133870

Source date

January 16, 2026
ARMADA ADVISORS, INC.
Investment adviser

SEC file number

801-120409

Source date

July 9, 2026
ARMADA CAPITAL LLC
Investment adviser

SEC file number

801-118197

Source date

March 20, 2026
ARMADA ETF ADVISORS LLC
Investment adviser

SEC file number

801-123057

Source date

August 4, 2026
ARMADA VENTURE PARTNERS LLC
Exempt reporting adviser

SEC file number

802-129535

Source date

March 10, 2026
ARMADILLO LITIGATION FUNDING LLC
Investment adviser

SEC file number

801-119729

Source date

March 18, 2026
ARMATUS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-136899

Source date

June 29, 2026
ARMBRUSTER CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-71184

Source date

July 30, 2026
ARMIRA BETEILIGUNGEN GMBH & CO., KG
Exempt reporting adviser

SEC file number

802-134525

Source date

July 20, 2026
ARMISTICE CAPITAL LLC
Investment adviser

SEC file number

801-100464

Source date

March 31, 2026
ARMOR ADVISORS, L.L.C.
Investment adviser

SEC file number

801-73922

Source date

March 26, 2026
ARMOR INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-63981

Source date

April 23, 2026
ARMORY CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-70206

Source date

March 6, 2026
ARMORY SQUARE VENTURES MANAGER, LLC
Exempt reporting adviser

SEC file number

802-114661

Source date

April 29, 2026
ARMOUR CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-76965

Source date

March 26, 2026
ARMOUR WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-135566

Source date

June 11, 2026
ARMSTRONG ADVISORY GROUP INC.
Investment adviser

SEC file number

801-123659

Source date

July 10, 2026
ARMSTRONG, FLEMING & MOORE, INC.
Investment adviser

SEC file number

801-38960

Source date

June 25, 2026
ARMYN CAPITAL LLC
Exempt reporting adviser

SEC file number

802-134307

Source date

March 31, 2026
AR�NE CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-135881

Source date

August 20, 2026
ARNHOLD LLC
Investment adviser

SEC file number

801-112065

Source date

March 25, 2026
ARNIE ADVISORS LLC
Investment adviser

SEC file number

801-120149

Source date

March 31, 2026
ARNOLD CASTELLANO AND ASSOCIATES, LLC
Investment adviser

SEC file number

801-130349

Source date

March 2, 2026
ARNOLD FINANCIAL PLANNING LLC
Investment adviser

SEC file number

801-123293

Source date

July 24, 2026
ARNOLD WEITZ & CO
Investment adviser

SEC file number

801-69800

Source date

February 23, 2026
AROHI ASSET MANAGEMENT PTE LTD.
Investment adviser

SEC file number

801-73586

Source date

August 11, 2026
AROSA CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-78870

Source date

March 30, 2026
ARQ WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-107346

Source date

August 19, 2026
ARQOS CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-136144

Source date

March 31, 2026
ARRIEN INVESTMENTS, INC.
Investment adviser

SEC file number

801-125988

Source date

February 26, 2026
ARRINGTON CAPITAL INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-121943

Source date

March 31, 2026
ARRIVAL CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-132523

Source date

March 6, 2026
ARRIVE OPPORTUNITIES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-114726

Source date

April 22, 2026
ARROW CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-136387

Source date

April 29, 2026
ARROW CAPITAL PTY LTD
Investment adviser

SEC file number

801-130886

Source date

September 24, 2026
ARROW INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-66595

Source date

March 31, 2026
ARROW INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-132036

Source date

March 31, 2026
ARROW WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-136801

Source date

August 28, 2026
ARROW WEALTH ADVISORY LLC
Investment adviser

SEC file number

801-113354

Source date

January 20, 2026
ARROWGRASS CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-118619

Source date

March 31, 2026
ARROWHEAD INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-110360

Source date

March 11, 2026
ARROWMARK ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-118052

Source date

March 25, 2026
ARROWMARK COLORADO HOLDINGS, LLC
Investment adviser

SEC file number

801-69868

Source date

March 31, 2026
ARROWPOINT INVESTMENT PARTNERS (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-131095

Source date

September 8, 2026
ARROWPOINT INVESTMENT PARTNERS (SINGAPORE) PTE. LTD.
Exempt reporting adviser

SEC file number

802-131094

Source date

September 8, 2026
ARROWROOT CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113421

Source date

May 13, 2026
ARROWROOT FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-121878

Source date

March 30, 2026
ARROWSIDE FUND GP LLC
Exempt reporting adviser

SEC file number

802-134491

Source date

March 27, 2026
ARROWSTREET CAPITAL, LIMITED PARTNERSHIP
Investment adviser

SEC file number

801-56633

Source date

April 22, 2026
ARROYO ENERGY INVESTMENT PARTNERS LLC
Investment adviser

SEC file number

801-100371

Source date

July 24, 2026
ARROYO INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-62813

Source date

June 22, 2026
ARS INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-7566

Source date

April 27, 2026
ARS WEALTH ADVISORS GROUP, LLC
Investment adviser

SEC file number

801-121501

Source date

March 26, 2026
ARSENAL CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-134963

Source date

June 5, 2026
ARSENAL CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-73822

Source date

March 31, 2026
ARSENAL VENTURE PARTNERS, INC.
Investment adviser

SEC file number

801-73317

Source date

June 18, 2026
ARTA FINANCE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-123662

Source date

June 25, 2026
ARTEMIS ADVISORY PARTNERS LTD
Exempt reporting adviser

SEC file number

802-131282

Source date

August 14, 2026
ARTEMIS CAPITAL PARTNERS MANAGEMENT CO., LLC
Investment adviser

SEC file number

801-124801

Source date

March 26, 2026
ARTEMIS REAL ESTATE PARTNERS, LLC
Investment adviser

SEC file number

801-74217

Source date

March 31, 2026
ARTEMIS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-71019

Source date

May 20, 2026
ARTESA FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-122111

Source date

March 31, 2026
ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP
Investment adviser

SEC file number

801-129697

Source date

March 31, 2026
ARTHAM PARTNERS LLP
Exempt reporting adviser

SEC file number

802-134712

Source date

June 19, 2026
ARTHEDGE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-119549

Source date

March 18, 2026
ARTHSCIENCE CAPITAL MANAGEMENT PRIVATE LIMITED
Investment adviser

SEC file number

801-135645

Source date

April 29, 2026
ARTHUR M. COHEN & ASSOCIATES LLC
Investment adviser

SEC file number

801-35752

Source date

April 17, 2026
ARTHUR VENTURES MANAGEMENT 2, LLC
Investment adviser

SEC file number

801-127987

Source date

April 21, 2026
ARTIA GLOBAL PARTNERS LP
Investment adviser

SEC file number

801-125942

Source date

March 31, 2026
ARTIENCE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128601

Source date

March 26, 2026
ARTIFEX FINANCIAL GROUP, LLC
Investment adviser

SEC file number

801-112759

Source date

March 31, 2026
ARTIMAN MANAGEMENT, L.L.C
Exempt reporting adviser

SEC file number

802-75747

Source date

April 3, 2026
ARTIS VENTURES MANAGEMENT, L.P.
Exempt reporting adviser

SEC file number

802-128076

Source date

March 26, 2026
ARTISAN PARTNERS LIMITED PARTNERSHIP
Investment adviser

SEC file number

801-70101

Source date

August 31, 2026
ARTISAN PARTNERS UK LLP
Investment adviser

SEC file number

801-71033

Source date

August 31, 2026
ARTIST CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-114400

Source date

March 30, 2026
ARTNEY LIMITED
Exempt reporting adviser

SEC file number

802-124701

Source date

March 13, 2026
ARVEST INVESTMENTS, INC.
Investment adviser

SEC file number

801-63738

Source date

March 30, 2026
ARVIN CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-127629

Source date

March 30, 2026
ARWA LLC
Investment adviser

SEC file number

801-134217

Source date

May 20, 2026
ARX MANAGEMENT, LLC
Investment adviser

SEC file number

801-118976

Source date

March 31, 2026
ARX PRIVATE WEALTH
Investment adviser

SEC file number

801-134623

Source date

February 24, 2026
ARYA VENTURES VC, LLC
Exempt reporting adviser

SEC file number

802-135072

Source date

February 25, 2026
AS AVARON ASSET MANAGEMENT
Investment adviser

SEC file number

801-107104

Source date

February 3, 2026
AS PLURAL ESTONIA
Exempt reporting adviser

SEC file number

802-136132

Source date

March 31, 2026
AS TRIGON ASSET MANAGEMENT
Investment adviser

SEC file number

801-108898

Source date

March 23, 2026
ASA ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-132303

Source date

June 15, 2026
ASA MANAGED ACCOUNT MANAGERS LLC
Investment adviser

SEC file number

801-76871

Source date

June 29, 2026
ASAL INVEST LLC
Investment adviser

SEC file number

801-135334

Source date

June 1, 2026
ASANA PARTNERS, LP
Investment adviser

SEC file number

801-108166

Source date

April 28, 2026
ASB CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-57896

Source date

April 29, 2026
ASCEND ADVISOR SERVICES LLC
Exempt reporting adviser

SEC file number

802-118498

Source date

March 2, 2026
ASCEND CAPITAL PARTNERS MANAGER, L.P.
Investment adviser

SEC file number

801-121969

Source date

March 31, 2026
ASCEND INTERPLAY, LLC
Investment adviser

SEC file number

801-122766

Source date

June 18, 2026
ASCEND REAL ESTATE PARTNERS LP
Exempt reporting adviser

SEC file number

802-119491

Source date

March 31, 2026
ASCENDANT CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-121941

Source date

April 28, 2026
ASCENDENT CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-76267

Source date

March 30, 2026
ASCENDO VENTURES, LLC
Exempt reporting adviser

SEC file number

802-131896

Source date

March 31, 2026
ASCENDOR WEALTH, LLC
Investment adviser

SEC file number

801-133828

Source date

July 3, 2026
ASCENSION CAPITAL ADVISORS, INC.
Investment adviser

SEC file number

801-57951

Source date

June 30, 2026
ASCENSION INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-73295

Source date

September 25, 2026
ASCENSION WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-120716

Source date

January 23, 2026
ASCENSUS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-61492

Source date

August 17, 2026
ASCENT ADVISORS LLC
Investment adviser

SEC file number

801-134543

Source date

September 24, 2026
ASCENT CAPITAL ADVISORS INDIA PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-75706

Source date

June 27, 2025
ASCENT CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-134434

Source date

April 1, 2026
ASCENT FINANCIAL GROUP LLC
Investment adviser

SEC file number

801-135535

Source date

February 10, 2026
ASCENT FUNDS MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-128691

Source date

March 31, 2026
ASCENT VENTURE MANAGEMENT, INC
Exempt reporting adviser

SEC file number

802-74730

Source date

June 26, 2026
ASCENT WEALTH PARTNERS, LLC
Investment adviser

SEC file number

801-72693

Source date

July 17, 2026
ASCENTA CAPITAL MANAGEMENT CO., L.P.
Exempt reporting adviser

SEC file number

802-128623

Source date

August 28, 2026
ASCENTIO CAPITAL, LP
Investment adviser

SEC file number

801-137157

Source date

July 24, 2026
ASCENTIS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-123264

Source date

July 21, 2026
ASCENTIS INDEPENDENT ADVISORS, LLC
Investment adviser

SEC file number

801-126441

Source date

July 13, 2026
ASCENTIS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130034

Source date

May 13, 2026
ASCENTRIS, LLC
Investment adviser

SEC file number

801-72092

Source date

March 24, 2026
ASCERTIS CAPITAL PTE. LIMITED
Exempt reporting adviser

SEC file number

802-131957

Source date

March 30, 2026
ASCO FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-61809

Source date

March 5, 2026
ASEMPA, LLC
Investment adviser

SEC file number

801-129040

Source date

May 12, 2026
ASESORDEINVERSIONES.COM LTD
Investment adviser

SEC file number

801-130459

Source date

January 8, 2026
ASGARD ASSET MANAGEMENT A/S
Exempt reporting adviser

SEC file number

802-132678

Source date

February 16, 2026
ASH INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-126446

Source date

April 30, 2026
ASHBAY CAPITAL, LLC
Investment adviser

SEC file number

801-78732

Source date

January 6, 2026
ASHCROFT PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132174

Source date

March 20, 2026
ASHDON INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-68173

Source date

March 2, 2026
ASHE CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-79065

Source date

March 31, 2026
ASHFORD ADVISORS, LLC
Investment adviser

SEC file number

801-60563

Source date

March 18, 2026
ASHFORD CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-15054

Source date

July 28, 2026
ASHGROVE CAPITAL LLP
Exempt reporting adviser

SEC file number

802-123193

Source date

August 4, 2026
ASHGROVE CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-123191

Source date

August 4, 2026
ASHGROVE SPECIALTY LENDING FUND I (GP) S.A.R.L.
Exempt reporting adviser

SEC file number

802-123194

Source date

August 4, 2026
ASHLAND FOREST CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-134339

Source date

March 23, 2026
ASHMORE INVESTMENT ADVISORS LIMITED
Investment adviser

SEC file number

801-79169

Source date

August 19, 2026
ASHMORE INVESTMENT MANAGEMENT LTD
Investment adviser

SEC file number

801-55109

Source date

August 19, 2026
ASHOKA WHITEOAK CAPITAL PTE. LTD.
Investment adviser

SEC file number

801-129429

Source date

August 14, 2026
ASHTON THOMAS PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-71512

Source date

August 24, 2026
ASHTON THOMAS SECURITIES, LLC
Investment adviser

SEC file number

801-69225

Source date

June 3, 2026
ASHWOOD ADVISORS, LLC
Investment adviser

SEC file number

801-136062

Source date

June 30, 2026
ASHWOOD CAPITAL MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-119103

Source date

July 9, 2026
ASHWORTH WEALTH, LLC
Investment adviser

SEC file number

801-111875

Source date

February 19, 2026
ASIA ALTERNATIVES MANAGEMENT LLC
Investment adviser

SEC file number

801-67258

Source date

July 29, 2026
ASIA DEBT MANAGEMENT HONG KONG LIMITED
Exempt reporting adviser

SEC file number

802-123222

Source date

July 6, 2026
ASIA FRONTIER INVESTMENTS LIMITED
Exempt reporting adviser

SEC file number

802-118046

Source date

May 10, 2026
ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-79830

Source date

September 24, 2026
ASIA PARTNERS FUND MANAGEMENT PTE. LTD.
Exempt reporting adviser

SEC file number

802-117214

Source date

March 26, 2026
ASIA RESEARCH & CAPITAL MANAGEMENT (DIFC) LIMITED
Exempt reporting adviser

SEC file number

802-128684

Source date

March 26, 2026
ASIA2G CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-132557

Source date

February 26, 2026
ASILIA CREDIT INVESTMENTS, LLC
Investment adviser

SEC file number

801-132743

Source date

March 31, 2026
ASIO CAPITAL LLC
Investment adviser

SEC file number

801-113910

Source date

March 26, 2026