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 88 of 95

TRU INDEPENDENCE ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-78748

Source date

August 26, 2026
TRUADVISORS FINANCIAL, LLC
Investment adviser

SEC file number

801-132751

Source date

September 14, 2026
TRUARC PARTNERS, LP
Investment adviser

SEC file number

801-120577

Source date

September 23, 2026
TRUBEE WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-70259

Source date

March 17, 2026
TRU-CAPITAL INVESTMENT FUND, LLC
Exempt reporting adviser

SEC file number

802-129095

Source date

April 1, 2026
TRUCK CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-107446

Source date

May 20, 2026
TRUE BEAUTY CAPITAL LLC
Exempt reporting adviser

SEC file number

802-121689

Source date

March 18, 2026
TRUE BLUE FINANCIAL, LLC
Investment adviser

SEC file number

801-133948

Source date

September 11, 2026
TRUE CAPITAL LTD
Exempt reporting adviser

SEC file number

802-122754

Source date

June 29, 2026
TRUE EQUITY MANAGEMENT II LLC
Exempt reporting adviser

SEC file number

802-128808

Source date

March 25, 2026
TRUE EQUITY MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-121054

Source date

March 25, 2026
TRUE FREEDOM INVESTING, LLC
Investment adviser

SEC file number

801-126397

Source date

September 22, 2026
TRUE GLOBAL VENTURES 4 PLUS PTE. LTD.
Exempt reporting adviser

SEC file number

802-137041

Source date

July 9, 2026
TRUE GREEN CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-123099

Source date

May 11, 2026
TRUE LINK FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-114179

Source date

March 30, 2026
TRUE MEASURE WEALTH MANAGEMENT
Investment adviser

SEC file number

801-60778

Source date

March 18, 2026
TRUE NORTH ADVISORS, LLC
Investment adviser

SEC file number

801-66250

Source date

July 16, 2026
TRUE NORTH CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-127833

Source date

March 14, 2026
TRUE NORTH MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-74203

Source date

March 16, 2026
TRUE NORTH MANAGEMENT PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-75500

Source date

May 1, 2026
TRUE NORTH RETIREMENT ADVISORS, LLC
Investment adviser

SEC file number

801-112242

Source date

March 11, 2026
TRUE PRIVATE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-76997

Source date

May 6, 2026
TRUE SQUARE FINANCIAL LLC
Investment adviser

SEC file number

801-135426

Source date

January 27, 2026
TRUE VENTURE MANAGEMENT, L.L.C.
Exempt reporting adviser

SEC file number

802-76139

Source date

March 25, 2026
TRUE VENUS LIMITED
Exempt reporting adviser

SEC file number

802-119479

Source date

March 16, 2026
TRUE WEALTH ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-123140

Source date

March 19, 2026
TRUE WEALTH DESIGN, LLC
Investment adviser

SEC file number

801-113277

Source date

July 30, 2026
TRUE WEALTH VENTURE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-132675

Source date

March 12, 2026
TRUE WEST MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-112633

Source date

March 16, 2026
TRUE WIND CAPITAL MANAGEMENT, L.P.
Investment adviser

SEC file number

801-107575

Source date

March 30, 2026
TRUEBLOOD WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-125794

Source date

August 25, 2026
TRUEBRIDGE CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-71946

Source date

April 29, 2026
TRUEDGE ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-127556

Source date

March 17, 2026
TRUEFG, LLC
Investment adviser

SEC file number

801-110087

Source date

March 30, 2026
TRUEHAVEN CAPITAL, LLC
Investment adviser

SEC file number

801-130726

Source date

August 12, 2026
TRUEHELM, LLC
Investment adviser

SEC file number

801-80058

Source date

August 3, 2026
TRUELINE WEALTH GROUP, LLC
Investment adviser

SEC file number

801-136451

Source date

June 30, 2026
TRUELINK CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-126925

Source date

March 31, 2026
TRUEMAN BROWN, LLC
Investment adviser

SEC file number

801-120742

Source date

March 25, 2026
TRUEMARK INVESTMENTS, LLC
Investment adviser

SEC file number

801-117961

Source date

June 10, 2026
TRUENORTH FINANCIAL SERVICES, LLC
Investment adviser

SEC file number

801-116702

Source date

March 18, 2026
TRUENORTH WEALTH & IMPACT, LLC
Investment adviser

SEC file number

801-125773

Source date

March 26, 2026
TRUEPOINT, INC.
Investment adviser

SEC file number

801-25433

Source date

August 31, 2026
TRUEWEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-114236

Source date

August 3, 2026
TRUEWEALTH FINANCIAL PARTNERS, LLC
Investment adviser

SEC file number

801-122242

Source date

May 1, 2026
TRUEWIND MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135241

Source date

March 25, 2026
TRUFFLE HOUND CAPITAL, LLC
Investment adviser

SEC file number

801-73293

Source date

March 23, 2026
TRUIST ADVISORY SERVICES, INC.
Investment adviser

SEC file number

801-107729

Source date

August 30, 2026
TRUMAN CAPITAL ADVISORS, LP
Investment adviser

SEC file number

801-73957

Source date

April 27, 2026
TRUMAN WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-132042

Source date

March 27, 2026
TRUMBOWER FINANCIAL ADVISORS LLC
Investment adviser

SEC file number

801-51817

Source date

March 6, 2026
TRUMED INVESTMENT MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-128970

Source date

March 17, 2026
TRUNORTH CAPITAL MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-119211

Source date

May 28, 2026
TRUNORTH FINANCIAL LLC
Investment adviser

SEC file number

801-134425

Source date

July 6, 2026
TRUNORTH FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-112919

Source date

March 23, 2026
TRUSCO INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-135647

Source date

August 28, 2026
TRUST ADVISORS, INC.
Investment adviser

SEC file number

801-72355

Source date

March 26, 2026
TRUST ADVISORY GROUP LTD
Investment adviser

SEC file number

801-46919

Source date

June 17, 2026
TRUST ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-69363

Source date

June 10, 2026
TRUST BEYOND CORP
Investment adviser

SEC file number

801-132752

Source date

January 16, 2026
TRUST INVESTMENT ADVISORS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-129716

Source date

May 8, 2026
TRUST VENTURES CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-113784

Source date

March 25, 2026
TRUSTAR CAPITAL PARTNERS LIMITED
Exempt reporting adviser

SEC file number

802-75194

Source date

March 16, 2026
TRUSTEE EMPOWERMENT & PROTECTION, INC.
Investment adviser

SEC file number

801-60944

Source date

August 12, 2026
TRUSTMONT ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-30694

Source date

March 30, 2026
TRUSTON ASSET MANAGEMENT CO., LTD.
Investment adviser

SEC file number

801-74536

Source date

February 3, 2026
TRUSTVENTURES, LLC
Exempt reporting adviser

SEC file number

802-136011

Source date

March 27, 2026
TRUSTWELL FINANCIAL ADVISORS, LLC
Investment adviser

SEC file number

801-120250

Source date

March 13, 2026
TRUTINO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-106888

Source date

February 27, 2026
TRUVESTMENTS CAPITAL LLC
Investment adviser

SEC file number

801-112243

Source date

March 25, 2026
TRYPERION HOLDINGS LLC
Investment adviser

SEC file number

801-130398

Source date

April 28, 2026
TRYPERION PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-122975

Source date

April 1, 2026
TS ASSET MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135393

Source date

January 23, 2026
TSA PORTFOLIO MANAGEMENT, INC. FKA TSA MANAGEMENT INC.
Investment adviser

SEC file number

801-41423

Source date

March 24, 2026
TSA WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-126689

Source date

August 18, 2026
TSAI CAPITAL CORPORATION
Investment adviser

SEC file number

801-67381

Source date

May 26, 2026
TSCG INVESTORS, LLC
Investment adviser

SEC file number

801-33349

Source date

March 24, 2026
TSFG, LLC
Investment adviser

SEC file number

801-99339

Source date

August 12, 2026
TSG ADVICE PARTNERS, LLC
Investment adviser

SEC file number

801-117566

Source date

March 30, 2026
TSG ALPHA PARTNERS, LLC
Investment adviser

SEC file number

801-131801

Source date

September 11, 2026
TSG CONSUMER PARTNERS LP
Investment adviser

SEC file number

801-74089

Source date

April 30, 2026
TSP ADVISORS, LLC
Investment adviser

SEC file number

801-126853

Source date

March 26, 2026
TSP CAPITAL MANAGEMENT GROUP, LLC
Investment adviser

SEC file number

801-63507

Source date

March 20, 2026
TSP INVESTMENT ADVISERS, L.L.C.
Investment adviser

SEC file number

801-131786

Source date

March 2, 2026
TSPI, LP
Investment adviser

SEC file number

801-112252

Source date

May 29, 2026
TST INVESTMENTS LLC
Exempt reporting adviser

SEC file number

802-130048

Source date

March 26, 2026
TSVC MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-131465

Source date

March 31, 2026
TSW II CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-73369

Source date

March 4, 2026
TSY CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-129017

Source date

May 11, 2026
TT CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-129780

Source date

August 3, 2026
TT INTERNATIONAL ASSET MANAGEMENT LTD
Investment adviser

SEC file number

801-45435

Source date

March 26, 2026
TTE CAPITAL INVESTMENT GROUP, LLC
Exempt reporting adviser

SEC file number

802-134815

Source date

October 23, 2025
TTFCM LLC
Exempt reporting adviser

SEC file number

802-131346

Source date

April 1, 2026
TTP INVESTMENTS, INC.
Investment adviser

SEC file number

801-107967

Source date

March 25, 2026
TTV CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-75841

Source date

March 17, 2026
TUATARA CAPITAL, L.P.
Exempt reporting adviser

SEC file number

802-134620

Source date

August 6, 2026
TUBLIN - DIFUSCO ADVISORS INC.
Investment adviser

SEC file number

801-68024

Source date

March 30, 2026
TUCKER ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-107110

Source date

June 2, 2026
TUCKER JR., DOUGLAS, RAY
Investment adviser

SEC file number

801-118704

Source date

March 16, 2026
TUCKER'S FARM MANAGEMENT COMPANY I, L.P.
Investment adviser

SEC file number

801-136597

Source date

July 30, 2026
TUDOR FINANCIAL, INC.
Investment adviser

SEC file number

801-118723

Source date

March 30, 2026
TUDOR INVESTMENT CORPORATION
Investment adviser

SEC file number

801-73474

Source date

March 30, 2026
TUFTON CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-50228

Source date

April 13, 2026
TUGBOAT VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-75976

Source date

March 19, 2026
TULL FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-61759

Source date

March 18, 2026
TULLIS HEALTH INVESTORS OF FLORIDA LLC
Exempt reporting adviser

SEC file number

802-110308

Source date

March 30, 2026
TULSA WEALTH ADVISORS, INC.
Investment adviser

SEC file number

801-134209

Source date

July 23, 2026
TUMOLO WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-135413

Source date

July 20, 2026
TUMWATER WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-118103

Source date

August 11, 2026
TUPELO MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-108023

Source date

March 18, 2026
TURAS CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-133727

Source date

July 10, 2026
TURIM 21 INVESTIMENTOS LTDA
Investment adviser

SEC file number

801-111000

Source date

July 27, 2026
TURIYA ADVISORS ASIA LIMITED
Exempt reporting adviser

SEC file number

802-74674

Source date

June 22, 2026
TURK VENTURES ADVISORY LIMITED
Exempt reporting adviser

SEC file number

802-75718

Source date

March 30, 2026
TURLOFF FINANCIAL CONSULTING INC.
Investment adviser

SEC file number

801-120385

Source date

September 3, 2026
TURN/RIVER MANAGEMENT, L.P.
Investment adviser

SEC file number

801-113765

Source date

March 30, 2026
TURN8 PRIVATE WEALTH INC.
Investment adviser

SEC file number

801-78315

Source date

May 29, 2026
TURNBRIDGE CAPITAL, LLC
Investment adviser

SEC file number

801-78900

Source date

March 26, 2026
TURNBRIDGE RE FUND MANAGEMENT COMPANY I LLC
Investment adviser

SEC file number

801-112345

Source date

June 12, 2026
TURNER CAPITAL INVESTMENTS, LLC
Investment adviser

SEC file number

801-120964

Source date

July 24, 2026
TURNER FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-129021

Source date

June 11, 2026
TURNING POINT BENEFIT GROUP, INC.
Investment adviser

SEC file number

801-116895

Source date

July 1, 2026
TURNING ROCK PARTNERS, L.P.
Investment adviser

SEC file number

801-111986

Source date

March 30, 2026
TURNSPIRE CAPITAL PARTNERS LLC
Investment adviser

SEC file number

801-130775

Source date

July 23, 2026
TURTLE CREEK ASSET MANAGEMENT INC.
Exempt reporting adviser

SEC file number

802-106654

Source date

April 16, 2026
TURTLE CREEK MANAGEMENT, LLC
Investment adviser

SEC file number

801-66626

Source date

March 30, 2026
TURTLE CREEK WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-127123

Source date

August 5, 2026
TURTLE SHIP LLC
Exempt reporting adviser

SEC file number

802-131307

Source date

March 27, 2026
TUSK VENTURE PARTNERS ADVISOR LLC
Exempt reporting adviser

SEC file number

802-130241

Source date

February 5, 2026
TUSK VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130252

Source date

February 5, 2026
TUTELA ADVISORY GROUP LLC
Investment adviser

SEC file number

801-136224

Source date

April 9, 2026
TUTTLE CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-76982

Source date

September 21, 2026
TUTTLE WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-134636

Source date

September 22, 2026
TUVE INVESTMENT MANAGEMENT, INC.
Investment adviser

SEC file number

801-100395

Source date

April 20, 2026
TVC CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-76068

Source date

March 30, 2026
TVF CAPITAL MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-76407

Source date

March 30, 2026
TVFP, LLC
Investment adviser

SEC file number

801-136321

Source date

September 16, 2026
TVL MANAGEMENT CORPORATION
Investment adviser

SEC file number

801-131177

Source date

May 5, 2026
TVM LIFE SCIENCE MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-114300

Source date

March 31, 2026
TVV ADVISERS, LLC
Investment adviser

SEC file number

801-126782

Source date

March 30, 2026
TWEEDY, BROWNE COMPANY LLC
Investment adviser

SEC file number

801-10669

Source date

June 29, 2026
TWEET MANAGEMENT SERVICES, INC.
Investment adviser

SEC file number

801-135865

Source date

April 14, 2026
TWELE CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-67477

Source date

January 6, 2026
TWELVE BELOW LLC
Exempt reporting adviser

SEC file number

802-123153

Source date

March 5, 2026
TWELVE POINTS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-108967

Source date

August 26, 2026
TWENTY FOUR WEALTH RIA, LLC
Investment adviser

SEC file number

801-137083

Source date

September 14, 2026
TWENTY TWENTY INVESTMENT ADVISORS,LLC
Investment adviser

SEC file number

801-131986

Source date

July 24, 2026
TWENTY VC LLP
Exempt reporting adviser

SEC file number

802-122639

Source date

June 17, 2025
TWENTY-FIRST TAILORED SOLUTIONS, INC.
Investment adviser

SEC file number

801-72603

Source date

January 30, 2026
TWENTYFOUR ASSET MANAGEMENT (US) LP
Investment adviser

SEC file number

801-108672

Source date

July 20, 2026
TWENTYFOUR ASSET MANAGEMENT LLP
Investment adviser

SEC file number

801-132774

Source date

July 20, 2026
TWENTYTHREE ADVISORY LLC
Investment adviser

SEC file number

801-132275

Source date

March 10, 2026
TWENTYTWO INVESTMENT MANAGEMENT
Exempt reporting adviser

SEC file number

802-120532

Source date

May 22, 2026
TW-IM, LLC
Investment adviser

SEC file number

801-77769

Source date

June 12, 2026
TWIN BRIDGE CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-74132

Source date

March 25, 2026
TWIN BRIDGES ADVISORY LLC
Investment adviser

SEC file number

801-137144

Source date

August 2, 2026
TWIN CAPITAL MANAGEMENT INC
Investment adviser

SEC file number

801-36431

Source date

March 30, 2026
TWIN CITIES RETIREMENT GROUP, LLC
Investment adviser

SEC file number

801-135555

Source date

April 20, 2026
TWIN CITY PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-130041

Source date

March 24, 2026
TWIN FOCUS CAPITAL PARTNERS, LLC
Investment adviser

SEC file number

801-66717

Source date

April 30, 2026
TWIN GRYPHON ADVISORS LLC
Investment adviser

SEC file number

801-129993

Source date

March 13, 2026
TWIN LAKES CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-113264

Source date

March 25, 2026
TWIN LIONS MANAGEMENT LLC
Investment adviser

SEC file number

801-136867

Source date

September 9, 2026
TWIN OAK ETF COMPANY
Investment adviser

SEC file number

801-130584

Source date

September 23, 2026
TWIN OAKS FUND MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-111737

Source date

March 27, 2026
TWIN PEAKS WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-126874

Source date

September 4, 2026
TWIN POINT CAPITAL LLC
Investment adviser

SEC file number

801-106871

Source date

April 30, 2026
TWIN RIVERS WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-137185

Source date

August 26, 2026
TWIN SECURITIES, INC.
Investment adviser

SEC file number

801-73786

Source date

March 31, 2026
TWIN TREE MANAGEMENT, LP
Investment adviser

SEC file number

801-73138

Source date

March 31, 2026
TWINBEECH CAPITAL LP
Investment adviser

SEC file number

801-114623

Source date

March 13, 2026
TWO CREEKS CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-79987

Source date

March 31, 2026
TWO HAWKS CAPITAL MANAGEMENT, LP
Exempt reporting adviser

SEC file number

802-136378

Source date

September 24, 2026
TWO PARKS CAPITAL LLC
Investment adviser

SEC file number

801-131296

Source date

March 27, 2026
TWO POINT CAPITAL MANAGEMENT, INC.
Investment adviser

SEC file number

801-78625

Source date

March 10, 2026
TWO PRIME INC.
Investment adviser

SEC file number

801-123219

Source date

April 6, 2026
TWO ROADS PARTNERS MANAGEMENT, LP
Investment adviser

SEC file number

801-128742

Source date

March 27, 2026
TWO SEAS CAPITAL LP
Investment adviser

SEC file number

801-119993

Source date

March 31, 2026
TWO SIGMA INVESTMENTS, LP
Investment adviser

SEC file number

801-70476

Source date

March 31, 2026
TWO SIGMA REAL ESTATE, LP
Investment adviser

SEC file number

801-131080

Source date

March 31, 2026
TWO WEST CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-76551

Source date

August 29, 2026
TX CAPITAL (HK) LIMITED
Exempt reporting adviser

SEC file number

802-113982

Source date

March 24, 2026
TXRE ADVISERS, LLC
Investment adviser

SEC file number

801-73766

Source date

May 6, 2026
TYBOURNE CAPITAL MANAGEMENT (HK) LTD
Exempt reporting adviser

SEC file number

802-76945

Source date

March 30, 2026
TYCHE WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-127984

Source date

June 16, 2026
TYLER STREET CAPITAL
Investment adviser

SEC file number

801-135269

Source date

June 8, 2026
TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC.
Investment adviser

SEC file number

801-61148

Source date

March 12, 2026
TYPE ONE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-130436

Source date

March 30, 2026
TYPHON ADVISORS, LLC
Investment adviser

SEC file number

801-134986

Source date

September 11, 2026
TYR CAPITAL ADVISORS, LLC
Investment adviser

SEC file number

801-128032

Source date

April 29, 2026
TYREE & D'ANGELO PARTNERS MANAGEMENT LP
Investment adviser

SEC file number

801-113906

Source date

March 30, 2026
TYRELL LLC
Exempt reporting adviser

SEC file number

802-134320

Source date

March 31, 2026
TYRO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-128575

Source date

April 16, 2026
TYRUS CAPITAL S.A.M.
Exempt reporting adviser

SEC file number

802-76770

Source date

March 26, 2026
TYTHON CAPITAL, LLC
Investment adviser

SEC file number

801-129672

Source date

August 28, 2026
TZP MANAGEMENT ASSOCIATES, LLC
Investment adviser

SEC file number

801-74019

Source date

March 31, 2026
U FUND SERVICES SARL
Exempt reporting adviser

SEC file number

802-137297

Source date

August 14, 2026
U. S. BOSTON CAPITAL CORPORATION
Investment adviser

SEC file number

801-130044

Source date

February 3, 2026
U.S. BANCORP ADVISORS, LLC
Investment adviser

SEC file number

801-70084

Source date

September 25, 2026
U.S. BANCORP ASSET MANAGEMENT, INC.
Investment adviser

SEC file number

801-60125

Source date

August 28, 2026
U.S. CHERRY LLC
Investment adviser

SEC file number

801-129218

Source date

March 9, 2026
U.S. GLOBAL INVESTORS, INC.
Investment adviser

SEC file number

801-4868

Source date

February 19, 2026
U.S. INSTITUTIONAL CORPORATION
Investment adviser

SEC file number

801-64473

Source date

August 20, 2026
U.S. WEALTH GROUP, LLC
Investment adviser

SEC file number

801-66977

Source date

March 26, 2026
U.S.A. FINANCIAL & TAX SERVICES, LLC
Investment adviser

SEC file number

801-131690

Source date

April 22, 2026
UA1 MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-137108

Source date

July 17, 2026
UAK DIVERSIFIED LLC
Investment adviser

SEC file number

801-135344

Source date

June 15, 2026
UBIQUE VENTURES LLC
Exempt reporting adviser

SEC file number

802-136339

Source date

April 23, 2026
UBIQUITY MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-119873

Source date

June 10, 2026
UBIQUITY VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-120994

Source date

March 20, 2026
UBS ASSET MANAGEMENT (AMERICAS) LLC
Investment adviser

SEC file number

801-34910

Source date

July 31, 2026
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD
Investment adviser

SEC file number

801-40177

Source date

August 5, 2026
UBS ASSET MANAGEMENT FUNDS LTD
Exempt reporting adviser

SEC file number

802-88212

Source date

March 25, 2026
UBS FARMLAND INVESTORS LLC
Investment adviser

SEC file number

801-53770

Source date

July 12, 2026
UBS FINANCIAL SERVICES INC.
Investment adviser

SEC file number

801-7163

Source date

August 25, 2026
UBS REALTY INVESTORS LLC
Investment adviser

SEC file number

801-45426

Source date

July 12, 2026
UBS TRUST COMPANY OF PUERTO RICO
Investment adviser

SEC file number

801-120846

Source date

March 30, 2026
UC VENTURES, LLC
Exempt reporting adviser

SEC file number

802-135565

Source date

February 12, 2026
UCAP ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-79625

Source date

March 27, 2026
UCK PARTNERS, INC.
Exempt reporting adviser

SEC file number

802-128876

Source date

March 27, 2026
UDINE WEALTH MANAGEMENT INC.
Investment adviser

SEC file number

801-120603

Source date

March 2, 2026
UFENAU CAPITAL PARTNERS AG
Exempt reporting adviser

SEC file number

802-122771

Source date

May 18, 2026
UG INVESTMENT ADVISERS LTD.
Investment adviser

SEC file number

801-78224

Source date

September 23, 2026
UGVP MANAGEMENT, LLC
Investment adviser

SEC file number

801-79915

Source date

March 31, 2026
UHLER VERTICH WHITE ADVISORS, LLC
Investment adviser

SEC file number

801-62896

Source date

April 1, 2026
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Investment adviser

SEC file number

801-113188

Source date

March 24, 2026
UHY WEALTH MANAGEMENT RIA LLC
Investment adviser

SEC file number

801-135711

Source date

April 20, 2026
UK TRUST (UKT) WEALTH MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-134473

Source date

September 2, 2025
ULLAND INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-57473

Source date

June 8, 2026
ULLICO INVESTMENT ADVISORS, INC.
Investment adviser

SEC file number

801-36371

Source date

August 4, 2026
ULLMAN INVESTMENT COUNSEL LLC
Investment adviser

SEC file number

801-137337

Source date

September 16, 2026
ULLMAN JOHN & ASSOCIATES INC
Investment adviser

SEC file number

801-14064

Source date

March 30, 2026
ULLMANN WEALTH PARTNERS GROUP, LLC
Investment adviser

SEC file number

801-122769

Source date

July 29, 2026
ULRICH CONSULTING AND INVESTMENT GROUP, LLC
Investment adviser

SEC file number

801-72880

Source date

January 30, 2026
ULTA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-128332

Source date

February 9, 2026
ULTRA ADVISORY GROUP LLC
Investment adviser

SEC file number

801-134701

Source date

August 31, 2026
ULTRA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-136887

Source date

June 28, 2026
ULTRATECH CAPITAL PARTNERS LLC
Exempt reporting adviser

SEC file number

802-131698

Source date

March 5, 2026
ULU VENTURES MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-112985

Source date

June 1, 2026
ULYSSES MANAGEMENT LLC
Investment adviser

SEC file number

801-73433

Source date

March 13, 2026
UMATIYA INVESTMENT GROUP FUND 1 LP
Exempt reporting adviser

SEC file number

802-132832

Source date

July 22, 2025
UMB FINANCIAL SERVICES, INC.
Investment adviser

SEC file number

801-62967

Source date

September 3, 2026
UMB PRIVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-117738

Source date

September 18, 2026
UNBIASED, INC.
Investment adviser

SEC file number

801-127102

Source date

December 5, 2025
UNBOX CAPITAL GEST�O DE RECURSOS FINANCEIROS LTDA.
Exempt reporting adviser

SEC file number

802-125892

Source date

February 26, 2026
UNBUNDLED CAPITAL LLC
Exempt reporting adviser

SEC file number

802-118717

Source date

March 26, 2026
UNCAP MANAGER LLC
Exempt reporting adviser

SEC file number

802-134890

Source date

March 31, 2026
UNCOMMON CENTS INVESTING, INC
Investment adviser

SEC file number

801-111907

Source date

August 25, 2026
UNCOMMON DENOMINATOR MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-131846

Source date

March 24, 2026
UNCOMMON EQUITY LLC
Investment adviser

SEC file number

801-130777

Source date

March 31, 2026