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 83 of 95

SVOBODA CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-115205

Source date

March 30, 2026
SVOF/MM, LLC
Investment adviser

SEC file number

801-63473

Source date

June 17, 2026
SVRN ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-121279

Source date

March 25, 2026
SVVY, LLC
Investment adviser

SEC file number

801-127946

Source date

March 31, 2026
SW INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-121009

Source date

March 19, 2026
SW ITERAM US ADVISORS LLC
Exempt reporting adviser

SEC file number

802-131067

Source date

March 24, 2026
SWAD WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-137035

Source date

July 8, 2026
SWAN & LEGEND ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-81149

Source date

July 15, 2026
SWAN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-76701

Source date

March 3, 2026
SWAN CAPITAL, LLC
Investment adviser

SEC file number

801-127762

Source date

September 10, 2026
SWAN GLOBAL INVESTMENTS, LLC
Investment adviser

SEC file number

801-70881

Source date

March 13, 2026
SWAN GLOBAL MANAGEMENT LLC
Investment adviser

SEC file number

801-80552

Source date

March 18, 2026
SWAN INVESTMENT PARTNERS, LP
Investment adviser

SEC file number

801-136935

Source date

July 16, 2026
SWAN WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-112612

Source date

March 25, 2026
SWANCAP INVESTMENT MANAGEMENT SA
Exempt reporting adviser

SEC file number

802-79104

Source date

March 23, 2026
SWARTHMORE ASSET MANAGEMENT LTD
Investment adviser

SEC file number

801-41752

Source date

February 25, 2026
SWAY VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-79192

Source date

June 16, 2026
SWBC INVESTMENT ADVISORY SERVICES LLC
Investment adviser

SEC file number

801-72669

Source date

September 3, 2026
SWBC INVESTMENT COMPANY
Investment adviser

SEC file number

801-68054

Source date

March 31, 2026
SWC M O LLC
Exempt reporting adviser

SEC file number

802-137198

Source date

July 30, 2026
SWEATER INDUSTRIES LLC
Investment adviser

SEC file number

801-122933

Source date

March 31, 2026
SWEENEY & MICHEL, LLC
Investment adviser

SEC file number

801-113350

Source date

March 5, 2026
SWEETWATER INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-117733

Source date

August 31, 2026
SWELL COLLECTIVE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-128427

Source date

April 17, 2026
SWEN CAPITAL PARTNERS
Exempt reporting adviser

SEC file number

802-132910

Source date

March 24, 2026
SWIFT CREEK REAL ESTATE PARTNERS LLC
Investment adviser

SEC file number

801-129406

Source date

June 9, 2026
SWIFT VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-120605

Source date

March 17, 2026
SWISHER FINANCIAL CONCEPTS, INC.
Investment adviser

SEC file number

801-115211

Source date

March 12, 2026
SWISS ALPINE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-101494

Source date

February 24, 2026
SWISS AMERICAN ADVISORS LTD.
Investment adviser

SEC file number

801-71175

Source date

June 30, 2026
SWISS FINANCE MANAGEMENT INTERNATIONAL SA
Investment adviser

SEC file number

801-108532

Source date

February 12, 2026
SWISS FINANCE PRIVATE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-137018

Source date

July 20, 2026
SWISS RE INSURANCE-LINKED STRATEGIES INC.
Investment adviser

SEC file number

801-126082

Source date

August 18, 2026
SWISS SELECT ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-127361

Source date

March 13, 2026
SWISS USADVISORS LTD.
Investment adviser

SEC file number

801-72787

Source date

February 25, 2026
SWISSPARTNERS ADVISORS AG
Investment adviser

SEC file number

801-69940

Source date

March 26, 2026
SWITCH VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-121029

Source date

March 31, 2026
SWITCHPOINT FINANCIAL PLANNING LLC
Investment adviser

SEC file number

801-125029

Source date

March 31, 2026
SWMG, LLC
Investment adviser

SEC file number

801-116898

Source date

August 20, 2026
SWP FINANCIAL LLC
Investment adviser

SEC file number

801-128911

Source date

July 14, 2026
SWP INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-130403

Source date

March 16, 2026
SWS CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-61480

Source date

July 21, 2026
SWS PARTNERS, LLC
Investment adviser

SEC file number

801-107254

Source date

July 14, 2026
SYCALE ADVISORS (NY) LLC
Investment adviser

SEC file number

801-110908

Source date

March 27, 2026
SYCAMORE FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-62788

Source date

March 13, 2026
SYCAMORE INVESTMENT CONSULTING SERVICES, LLC
Investment adviser

SEC file number

801-134876

Source date

December 15, 2025
SYCAMORE PARTNERS MANAGEMENT, L.P.
Investment adviser

SEC file number

801-108072

Source date

March 31, 2026
SYCAMORE TREE CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-123678

Source date

March 31, 2026
SYGNUS CAPITAL LIMTED
Investment adviser

SEC file number

801-131723

Source date

March 26, 2026
SYGNUS CAPITAL PR LLC
Investment adviser

SEC file number

801-130789

Source date

August 27, 2026
SYGNUS CAPITAL SL LIMITED
Investment adviser

SEC file number

801-131724

Source date

March 26, 2026
SYKON ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-132803

Source date

July 21, 2026
SYKON CAPITAL LLC
Investment adviser

SEC file number

801-128087

Source date

September 14, 2026
SYLEBRA CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-126367

Source date

March 11, 2026
SYLEBRA CAPITAL LLC
Investment adviser

SEC file number

801-123124

Source date

March 28, 2026
SYLEBRA CAPITAL MANAGEMENT
Exempt reporting adviser

SEC file number

802-124959

Source date

March 11, 2026
SYLVEST ADVISORS, LLC
Investment adviser

SEC file number

801-113128

Source date

March 25, 2026
SYM FINANCIAL CORPORATION
Investment adviser

SEC file number

801-23944

Source date

March 31, 2026
SYMBIOTIC CAPITAL MANAGEMENT CO. LLC
Investment adviser

SEC file number

801-128442

Source date

March 31, 2026
SYMBOL CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-77331

Source date

March 31, 2026
SYMBOL FUND MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-123556

Source date

July 1, 2026
SYMETRA INVESTMENT MANAGEMENT COMPANY
Investment adviser

SEC file number

801-120578

Source date

April 23, 2026
SYMFONIE CAPITAL, LTD
Investment adviser

SEC file number

801-76905

Source date

September 27, 2025
SYMMETRY CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-61422

Source date

March 3, 2026
SYMMETRY INVESTMENTS (DIFC) LIMITED
Exempt reporting adviser

SEC file number

802-137391

Source date

August 27, 2026
SYMMETRY INVESTMENTS (HONG KONG) LIMITED
Exempt reporting adviser

SEC file number

802-80047

Source date

March 30, 2026
SYMMETRY INVESTMENTS CAYMAN LIMITED
Exempt reporting adviser

SEC file number

802-129600

Source date

March 30, 2026
SYMMETRY INVESTMENTS JERSEY LIMITED
Exempt reporting adviser

SEC file number

802-121607

Source date

March 30, 2026
SYMMETRY INVESTMENTS LP
Exempt reporting adviser

SEC file number

802-80046

Source date

May 28, 2026
SYMMETRY INVESTMENTS SINGAPORE PRIVATE LIMITED
Exempt reporting adviser

SEC file number

802-114257

Source date

March 30, 2026
SYMMETRY INVESTMENTS UK LLP
Exempt reporting adviser

SEC file number

802-80045

Source date

May 28, 2026
SYMMETRY INVESTMENTS US LLC
Investment adviser

SEC file number

801-128668

Source date

March 31, 2026
SYMMETRY PARTNERS, LLC.
Investment adviser

SEC file number

801-61342

Source date

February 27, 2026
SYMMETRY PEAK MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75920

Source date

March 25, 2026
SYMMETRY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-136485

Source date

May 14, 2026
SYMPHONY FINANCIAL PARTNERS (SINGAPORE) PTE. LTD.
Investment adviser

SEC file number

801-103475

Source date

March 30, 2026
SYMPHONY FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-63300

Source date

February 25, 2026
SYMPHONY FINANCIAL, LTD. CO.
Investment adviser

SEC file number

801-79989

Source date

August 24, 2026
SYMPHONY TECHNOLOGY GROUP, LLC
Investment adviser

SEC file number

801-73246

Source date

September 9, 2026
SYMPHONY WEALTH MANAGEMENT, LLC.
Investment adviser

SEC file number

801-107877

Source date

April 1, 2026
SYN VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-122174

Source date

March 6, 2026
SYN VENTURES SEED MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-129286

Source date

March 6, 2026
SYNCHRONOUS WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-134833

Source date

May 4, 2026
SYNCRACY OPERATIONAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135916

Source date

September 14, 2026
SYNDICATED CAPITAL, INC.
Investment adviser

SEC file number

801-129421

Source date

March 31, 2026
SYNERGY ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-64132

Source date

March 17, 2026
SYNERGY CAPITAL OF COLORADO LLC
Investment adviser

SEC file number

801-132021

Source date

February 26, 2026
SYNERGY FINANCIAL GROUP, LTD
Investment adviser

SEC file number

801-119295

Source date

March 31, 2026
SYNERGY FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-117436

Source date

March 27, 2026
SYNERGY FUND MANAGEMENT GROUP LIMITED
Investment adviser

SEC file number

801-112597

Source date

March 31, 2026
SYNERGY INVESTMENT MANAGEMENT LLC
Investment adviser

SEC file number

801-129970

Source date

May 20, 2026
SYNERGY WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-134324

Source date

March 30, 2026
SYNO INFINITY LTD
Exempt reporting adviser

SEC file number

802-134134

Source date

July 9, 2025
SYNORA CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137445

Source date

September 4, 2026
SYNOVA LLP
Exempt reporting adviser

SEC file number

802-80660

Source date

June 16, 2026
SYNOVUS SECURITIES, INC.
Investment adviser

SEC file number

801-19690

Source date

January 28, 2026
SYNTAGMA CAPITAL MANAGEMENT SA
Exempt reporting adviser

SEC file number

802-129501

Source date

March 13, 2026
SYNTAX RESEARCH, INC.
Investment adviser

SEC file number

801-76880

Source date

March 16, 2026
SYNTEGRA PRIVATE WEALTH GROUP LLC
Investment adviser

SEC file number

801-126688

Source date

August 26, 2026
SYNTHESIS CAPITAL LLP
Exempt reporting adviser

SEC file number

802-124960

Source date

June 15, 2026
SYNTHETICFI LLC
Investment adviser

SEC file number

801-129765

Source date

April 17, 2026
SYON CAPITAL LLC
Investment adviser

SEC file number

801-126386

Source date

July 27, 2026
SYRIOS WEALTH MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-130855

Source date

September 14, 2026
SYSTELLIGENCE, LLC
Investment adviser

SEC file number

801-107695

Source date

March 30, 2026
SYSTEM 2 ADVISORS, L.P.
Investment adviser

SEC file number

801-76820

Source date

March 31, 2026
SYSTEM 2 CAPITAL LLP
Exempt reporting adviser

SEC file number

802-125700

Source date

March 3, 2026
SYSTEMATIC ALPHA INVESTMENTS, LLC
Investment adviser

SEC file number

801-113746

Source date

March 23, 2026
SYSTEMATIC FINANCIAL MANAGEMENT LP
Investment adviser

SEC file number

801-48908

Source date

March 30, 2026
SYSTEMATIC MANAGEMENT AB
Exempt reporting adviser

SEC file number

802-130810

Source date

March 27, 2026
SYSTEMATICA INVESTMENTS GP LIMITED
Investment adviser

SEC file number

801-111694

Source date

March 31, 2026
SYSTEMATICA INVESTMENTS LIMITED
Investment adviser

SEC file number

801-80621

Source date

March 31, 2026
SYSTEMATICA INVESTMENTS SINGAPORE PTE. LTD
Investment adviser

SEC file number

801-111693

Source date

March 31, 2026
SYSTEMATICA INVESTMENTS UK LLP
Investment adviser

SEC file number

801-111692

Source date

March 31, 2026
SYSTIMA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-79703

Source date

March 27, 2026
SYVERSON STREGE & COMPANY
Investment adviser

SEC file number

801-54959

Source date

July 13, 2026
SYZYGY ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-61153

Source date

September 18, 2026
SZOP MULTISTRAT MANAGEMENT LLC
Investment adviser

SEC file number

801-123103

Source date

April 24, 2026
T CAPITAL PARTNERS CO., LTD.
Exempt reporting adviser

SEC file number

802-120429

Source date

June 24, 2026
T VENTURES MANAGEMENT CO, LTD.
Investment adviser

SEC file number

801-113297

Source date

August 14, 2026
T. ANTON INVESTMENT HOUSE, INC.
Investment adviser

SEC file number

801-108785

Source date

March 26, 2026
T. ROWE PRICE (CANADA) INC.
Investment adviser

SEC file number

801-39638

Source date

July 1, 2026
T. ROWE PRICE ADVISORY SERVICES, INC.
Investment adviser

SEC file number

801-58098

Source date

August 26, 2026
T. ROWE PRICE ASSOCIATES, INC.
Investment adviser

SEC file number

801-856

Source date

July 6, 2026
T. ROWE PRICE AUSTRALIA LIMITED
Investment adviser

SEC file number

801-112672

Source date

July 1, 2026
T. ROWE PRICE INTERNATIONAL LTD
Investment adviser

SEC file number

801-61894

Source date

July 1, 2026
T. ROWE PRICE JAPAN, INC.
Investment adviser

SEC file number

801-112671

Source date

July 1, 2026
T. ROWE PRICE SINGAPORE PRIVATE LTD
Investment adviser

SEC file number

801-72034

Source date

July 1, 2026
T.M. WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-123581

Source date

March 5, 2026
T.R.U.E. COASTAL CAPITAL, LLC
Investment adviser

SEC file number

801-134913

Source date

March 25, 2026
T.ROWE PRICE HONG KONG LIMITED
Investment adviser

SEC file number

801-72035

Source date

July 1, 2026
T.ROWE PRICE INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-121434

Source date

July 1, 2026
T.T.G. FINANCIAL, INC.
Investment adviser

SEC file number

801-118184

Source date

September 4, 2026
T2 ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-112202

Source date

March 2, 2026
TA ASSOCIATES MANAGEMENT, L.P.
Investment adviser

SEC file number

801-74026

Source date

May 26, 2026
TA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-78797

Source date

March 26, 2026
TA REALTY LLC
Investment adviser

SEC file number

801-57460

Source date

May 5, 2026
TABER ASSET MANAGEMENT L.L.C.
Investment adviser

SEC file number

801-136221

Source date

May 28, 2026
TABERNACLE EQUITY MANAGEMENT LLC
Investment adviser

SEC file number

801-133012

Source date

August 5, 2026
TABLEAUX LLC
Investment adviser

SEC file number

801-131336

Source date

July 17, 2026
TABOR ASSET MANAGEMENT, LP
Investment adviser

SEC file number

801-117165

Source date

March 24, 2026
TABR CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-62650

Source date

March 26, 2026
TAC PARTNERS, INC.
Investment adviser

SEC file number

801-74345

Source date

April 29, 2026
TACHYON ENTIER CAPITAL LLC
Exempt reporting adviser

SEC file number

802-136818

Source date

June 24, 2026
TACONIC ADVISORS INC.
Investment adviser

SEC file number

801-125808

Source date

July 9, 2026
TACONIC CAPITAL ADVISORS L.P.
Investment adviser

SEC file number

801-65189

Source date

August 31, 2026
TACORA MANAGEMENT COMPANY LTD.
Exempt reporting adviser

SEC file number

802-76273

Source date

March 27, 2026
TACORA CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-122445

Source date

March 31, 2026
TACORA MANAGEMENT COMPANY II LTD.
Exempt reporting adviser

SEC file number

802-76297

Source date

March 30, 2026
TACTICA LLC
Investment adviser

SEC file number

801-134932

Source date

March 30, 2026
TACTICAL FUND ADVISORS, LLC
Investment adviser

SEC file number

801-114248

Source date

April 8, 2026
TACTICAL INFRASTRUCTURE PARTNERS, LP
Investment adviser

SEC file number

801-127443

Source date

March 26, 2026
TACTICAL ROTATION MANAGEMENT, LLC
Investment adviser

SEC file number

801-131642

Source date

March 24, 2026
TACTIVE ADVISORS, LLC
Investment adviser

SEC file number

801-119680

Source date

June 4, 2026
TACTIVEST, LLC
Investment adviser

SEC file number

801-126580

Source date

March 10, 2026
TAG ASSOCIATES FLORIDA LLC
Investment adviser

SEC file number

801-127597

Source date

June 26, 2026
TAG ASSOCIATES LLC
Investment adviser

SEC file number

801-60908

Source date

June 26, 2026
TAGC MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-135786

Source date

March 6, 2026
TAGES CAPITAL LLP
Investment adviser

SEC file number

801-134112

Source date

March 30, 2026
TAGSTONE CAPITAL, INC.
Investment adviser

SEC file number

801-121704

Source date

February 17, 2026
TAIBER, KOSMALA & ASSOCIATES, LLC
Investment adviser

SEC file number

801-76838

Source date

March 27, 2026
TAIGA FUND MANAGEMENT AS
Exempt reporting adviser

SEC file number

802-118920

Source date

March 27, 2026
TAIKO PRIVATE WEALTH
Investment adviser

SEC file number

801-129742

Source date

May 6, 2026
TAILORED WEALTH SOLUTIONS, LLC
Investment adviser

SEC file number

801-135304

Source date

June 5, 2026
TAILWIND ADVISORS, LLC
Investment adviser

SEC file number

801-70175

Source date

March 24, 2026
TAILWIND MANAGEMENT LP
Investment adviser

SEC file number

801-73545

Source date

March 31, 2026
TAILWINDS WEALTH, LLC
Investment adviser

SEC file number

801-126504

Source date

September 22, 2026
TAIREN CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-118026

Source date

March 18, 2026
TAIWANIA CAPITAL MANAGEMENT USA, INC.
Exempt reporting adviser

SEC file number

802-112916

Source date

March 27, 2026
TAIYO PACIFIC PARTNERS L.P.
Investment adviser

SEC file number

801-73713

Source date

March 30, 2026
TALANTON ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-114731

Source date

August 14, 2025
TALBOT FINANCIAL, LLC
Investment adviser

SEC file number

801-71859

Source date

March 2, 2026
TALENT MANAGEMENT L.L.C.
Exempt reporting adviser

SEC file number

802-135111

Source date

March 30, 2026
TALIS ADVISORY SERVICES, LLC
Investment adviser

SEC file number

801-67609

Source date

April 22, 2026
TALISMAN WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-120785

Source date

March 31, 2026
TALKABOUTHEALTH, INC.
Investment adviser

SEC file number

801-133876

Source date

September 9, 2026
TALKOT CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-107636

Source date

March 30, 2026
TALL PINES CAPITAL, LLC
Investment adviser

SEC file number

801-114900

Source date

May 5, 2026
TALL TREES CAPITAL MANAGEMENT LP
Exempt reporting adviser

SEC file number

802-119623

Source date

March 31, 2026
TALLVINE PARTNERS MANAGEMENT LP
Investment adviser

SEC file number

801-129938

Source date

April 27, 2026
TALLWOODS PARTNERS, LLC
Investment adviser

SEC file number

801-78525

Source date

March 31, 2026
TALOK CAPITAL 0.1 LLC
Exempt reporting adviser

SEC file number

802-134395

Source date

March 30, 2026
TALOMON CAPITAL LIMITED
Investment adviser

SEC file number

801-112773

Source date

March 24, 2026
TALON LLC
Investment adviser

SEC file number

801-114857

Source date

May 21, 2026
TALOS EURISKO ASSET MANAGEMENT LP
Investment adviser

SEC file number

801-131157

Source date

March 30, 2026
TALSON CAPITAL MANAGEMENT L.P.
Investment adviser

SEC file number

801-77577

Source date

August 26, 2026
TAM CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-123716

Source date

April 7, 2026
TAM FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-117558

Source date

February 19, 2026
TAMAR SECURITIES, LLC
Investment adviser

SEC file number

801-71532

Source date

April 10, 2026
TAMARACK GLOBAL MANAGER LLC
Exempt reporting adviser

SEC file number

802-130017

Source date

February 12, 2026
TAMARIND HILL INVESTMENT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-127841

Source date

March 19, 2026
TAMARIND HILL MANAGEMENT II, LLC
Exempt reporting adviser

SEC file number

802-124942

Source date

March 19, 2026
TAMARISK CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-134893

Source date

February 20, 2026
TAMARISK FINANCIAL, LLC
Investment adviser

SEC file number

801-120208

Source date

July 22, 2026
TAMARIX CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-118398

Source date

March 12, 2026
TAMPA BAY VENTURES, LLC
Exempt reporting adviser

SEC file number

802-127541

Source date

March 16, 2026
TANAGER WEALTH MANAGEMENT LLP
Investment adviser

SEC file number

801-77494

Source date

July 22, 2026
TANAKA CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-28990

Source date

July 17, 2026
TANARA WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-135541

Source date

August 10, 2026
TANDEM CAPITAL MANAGEMENT CORP
Investment adviser

SEC file number

801-38764

Source date

March 30, 2026
TANDEM FINANCIAL, LLC
Investment adviser

SEC file number

801-122130

Source date

August 4, 2026
TANDEM INVESTMENT ADVISORS INC
Investment adviser

SEC file number

801-57846

Source date

September 1, 2026
TANDEM INVESTMENT PARTNERS, LLC
Investment adviser

SEC file number

801-121703

Source date

February 9, 2026
TANDEM PARTNERS GROUP, LLC
Exempt reporting adviser

SEC file number

802-130586

Source date

March 26, 2026
TANDEM WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-115170

Source date

April 1, 2026
TANDEMGROWTH FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-79425

Source date

March 18, 2026
TANG ERIC M P INC
Investment adviser

SEC file number

801-52600

Source date

January 2, 2026
TANGENCY CAPITAL INVESTMENT ADVISORY LTD.
Investment adviser

SEC file number

801-122403

Source date

March 20, 2026
TANGIBLE INVESTMENT MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-118137

Source date

July 23, 2026
TANGLEWOOD LEGACY ADVISORS, LLC
Investment adviser

SEC file number

801-107793

Source date

March 27, 2026
TANGLEWOOD WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-38245

Source date

March 30, 2026
TANGLIN VENTURE PARTNERS PTE. LTD.
Exempt reporting adviser

SEC file number

802-121706

Source date

September 25, 2026
TANNIN CAPITAL, LLC
Investment adviser

SEC file number

801-116787

Source date

March 31, 2026
TANO CAPITAL, LLC
Investment adviser

SEC file number

801-74031

Source date

March 24, 2026
TANTALLON CAPITAL ADVISORS PTE LTD
Exempt reporting adviser

SEC file number

802-76794

Source date

February 19, 2026
TAO PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-135847

Source date

August 25, 2026
TAP ROOT CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-134655

Source date

May 11, 2026
TAPESTRY VENTURE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-123675

Source date

March 31, 2026
TAPP FINANCE, INC.
Investment adviser

SEC file number

801-128674

Source date

June 2, 2026
TAR RIVER WEALTH PLANNING, LLC
Investment adviser

SEC file number

801-129188

Source date

August 26, 2026
TARBOX FAMILY OFFICE, INC.
Investment adviser

SEC file number

801-27225

Source date

March 26, 2026
TARGET GLOBAL SELECTED OPPORTUNITIES LP
Exempt reporting adviser

SEC file number

802-122244

Source date

March 19, 2026
TARGET PARTNERS GMBH
Exempt reporting adviser

SEC file number

802-76967

Source date

March 24, 2026
TARGET ROCK WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130008

Source date

April 24, 2026
TARGETED FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-62542

Source date

March 20, 2026
TARHEEL ADVISORS, LLC
Investment adviser

SEC file number

801-131916

Source date

January 28, 2026
TARPON GESTORA DE RECURSOS LTDA
Exempt reporting adviser

SEC file number

802-128006

Source date

February 9, 2026
TASK FORCE X CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-126402

Source date

March 18, 2026
TASSEL CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-120382

Source date

January 26, 2026
TASSEO ECOSYSTEM LLC
Exempt reporting adviser

SEC file number

802-134908

Source date

March 2, 2026
TATA CAPITAL PTE LTD
Exempt reporting adviser

SEC file number

802-76674

Source date

June 16, 2026
TATE WEALTH MANAGEMENT
Investment adviser

SEC file number

801-63712

Source date

April 24, 2026
TAU VENTURES, LLC
Exempt reporting adviser

SEC file number

802-131736

Source date

January 30, 2026
TAULA CAPITAL MANAGEMENT (DIFC) LTD
Investment adviser

SEC file number

801-132361

Source date

September 8, 2026
TAULA CAPITAL MANAGEMENT (ITALY) SRL
Exempt reporting adviser

SEC file number

802-130780

Source date

September 8, 2026
TAULA CAPITAL MANAGEMENT (JERSEY) LP
Investment adviser

SEC file number

801-129646

Source date

September 8, 2026
TAULA CAPITAL MANAGEMENT (SWITZERLAND) SARL
Exempt reporting adviser

SEC file number

802-130779

Source date

September 8, 2026
TAULA CAPITAL MANAGEMENT (UK) LLP
Investment adviser

SEC file number

801-129641

Source date

September 8, 2026
TAULA CAPITAL MANAGEMENT (US) LLC
Investment adviser

SEC file number

801-129642

Source date

September 10, 2026
TAURUM RETIREMENT PARTNERS, LLC
Investment adviser

SEC file number

801-130407

Source date

March 25, 2026
TAURUS CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-127840

Source date

March 30, 2026
TAURUS FINANCIAL LLC
Investment adviser

SEC file number

801-135168

Source date

September 2, 2026
TAURUS FUNDS MANAGEMENT PTY LIMITED
Exempt reporting adviser

SEC file number

802-76018

Source date

September 25, 2026
TAURUS PRIVATE MARKETS, LLC
Investment adviser

SEC file number

801-126659

Source date

March 19, 2026
TAURUS VENTURES CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-125031

Source date

March 23, 2026
TAURUS VENTURES GP, LLC
Exempt reporting adviser

SEC file number

802-128226

Source date

March 23, 2026
TAVERIK CAPITAL, LLC
Investment adviser

SEC file number

801-117029

Source date

March 31, 2026
TAVIRA FINANCIAL LIMITED
Investment adviser

SEC file number

801-122827

Source date

June 25, 2026
TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.
Investment adviser

SEC file number

801-110232

Source date

September 18, 2026
TAYEH CAPITAL GROUP MANAGEMENT CO., L.P.
Exempt reporting adviser

SEC file number

802-135060

Source date

March 20, 2026
TAYLOR & MORGAN WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113195

Source date

March 9, 2026