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 9 of 95

ASK CAPITAL INVESTMENT MANAGERS, LLC
Investment adviser

SEC file number

801-137369

Source date

August 27, 2026
ASK CAPITAL MANAGEMENT PTE LTD.
Exempt reporting adviser

SEC file number

802-135987

Source date

July 1, 2026
ASK DOLLY, LLC
Investment adviser

SEC file number

801-134446

Source date

March 30, 2026
ASL FINANCIAL, LLC
Investment adviser

SEC file number

801-121203

Source date

January 5, 2026
ASLAN ROSE LLC
Exempt reporting adviser

SEC file number

802-134163

Source date

March 20, 2026
ASPECT ACQUISITION MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130672

Source date

March 31, 2026
ASPECT CAPITAL LIMITED
Investment adviser

SEC file number

801-62408

Source date

July 28, 2026
ASPECT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-88225

Source date

March 30, 2026
ASPECT PARTNERS, LLC
Investment adviser

SEC file number

801-126851

Source date

April 28, 2026
ASPEN CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-63437

Source date

February 24, 2026
ASPEN GROVE CAPITAL, LLC
Investment adviser

SEC file number

801-78138

Source date

September 14, 2026
ASPEN INVESTMENT MANAGEMENT INC.
Investment adviser

SEC file number

801-58191

Source date

March 5, 2026
ASPEN PRIVATE ADVISORS, LLC
Investment adviser

SEC file number

801-113814

Source date

March 26, 2026
ASPEN RENEWABLE INVESTMENTS, L.L.C.
Investment adviser

SEC file number

801-132127

Source date

April 15, 2026
ASPEN WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-114243

Source date

April 13, 2026
ASPEN WEALTH STRATEGIES, LLC
Investment adviser

SEC file number

801-119473

Source date

February 25, 2026
ASPER INVESTMENT MANAGEMENT LTD
Exempt reporting adviser

SEC file number

802-113673

Source date

June 24, 2026
ASPETUCK FINANCIAL MANAGEMENT LLC
Investment adviser

SEC file number

801-125900

Source date

February 17, 2026
ASPEX MANAGEMENT (HK) LIMITED
Exempt reporting adviser

SEC file number

802-115265

Source date

March 26, 2026
ASPIRANT GROUP INC.
Exempt reporting adviser

SEC file number

802-117521

Source date

March 9, 2026
ASPIRE ADVISORS, LLC
Investment adviser

SEC file number

801-77599

Source date

March 27, 2026
ASPIRE CAPITAL ADVISORS LLC
Investment adviser

SEC file number

801-118452

Source date

April 2, 2026
ASPIRE GROWTH PARTNERS LLC
Investment adviser

SEC file number

801-120122

Source date

June 4, 2026
ASPIRE PRIVATE CAPITAL, LLC
Investment adviser

SEC file number

801-113754

Source date

August 20, 2026
ASPIRE STRATEGIST PORTFOLIOS LLC
Investment adviser

SEC file number

801-128944

Source date

March 24, 2026
ASPIRE WEALTH ADVISORY GROUP, LLC
Investment adviser

SEC file number

801-134595

Source date

March 31, 2026
ASPIREAN WEALTH, LLC
Investment adviser

SEC file number

801-121642

Source date

January 29, 2026
ASPIRIANT, LLC
Investment adviser

SEC file number

801-68987

Source date

August 21, 2026
ASPIRING VENTURES, LLC
Investment adviser

SEC file number

801-131585

Source date

June 25, 2026
ASPIRITY PARTNERS LLP
Exempt reporting adviser

SEC file number

802-134312

Source date

May 8, 2026
ASPOON CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-121235

Source date

March 2, 2026
ASSABET ADVISORS, LLC
Investment adviser

SEC file number

801-120592

Source date

August 19, 2026
ASSEMBLY VENTURES MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-124895

Source date

March 31, 2026
ASSEMBLY VENTURES SELECT MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-136301

Source date

April 17, 2026
ASSET ADVISORS INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-113477

Source date

March 24, 2026
ASSET ADVISORY GROUP, INC.
Investment adviser

SEC file number

801-46343

Source date

February 27, 2026
ASSET ALLOCATION & MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-60075

Source date

March 24, 2026
ASSET ALLOCATION STRATEGIES, LLC
Investment adviser

SEC file number

801-106707

Source date

September 18, 2026
ASSET CONSULTING GROUP, LLC
Investment adviser

SEC file number

801-39372

Source date

March 30, 2026
ASSET DEDICATION, LLC
Investment adviser

SEC file number

801-71892

Source date

March 31, 2026
ASSET GROWTH SOLUTIONS, LLC
Investment adviser

SEC file number

801-136621

Source date

July 14, 2026
ASSET MANAGEMENT ADVISORS, LLC
Investment adviser

SEC file number

801-56554

Source date

August 11, 2026
ASSET MANAGEMENT CONSULTING SERVICES, INC.
Investment adviser

SEC file number

801-62460

Source date

March 27, 2026
ASSET MANAGEMENT GROUP INVESTMENT CORP.
Investment adviser

SEC file number

801-78374

Source date

December 24, 2025
ASSET MANAGEMENT GROUP, INC.
Investment adviser

SEC file number

801-55461

Source date

March 4, 2026
ASSET MANAGEMENT ONE CO., LTD.
Investment adviser

SEC file number

801-55047

Source date

June 29, 2026
ASSET MANAGEMENT ONE USA INC.
Investment adviser

SEC file number

801-54930

Source date

May 29, 2026
ASSET MANAGEMENT SERVICES, INC.
Investment adviser

SEC file number

801-136596

Source date

July 15, 2026
ASSET MANAGEMENT STRATEGIES, INC.
Investment adviser

SEC file number

801-108628

Source date

March 31, 2026
ASSET MANAGEMENT VENTURES, LLC
Exempt reporting adviser

SEC file number

802-74694

Source date

March 30, 2026
ASSET ONE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-132828

Source date

September 11, 2026
ASSET PLANNING CORPORATION
Investment adviser

SEC file number

801-63461

Source date

February 4, 2026
ASSET PLANNING SERVICES INC
Investment adviser

SEC file number

801-29419

Source date

February 24, 2026
ASSET PLANNING, INC
Investment adviser

SEC file number

801-62993

Source date

January 26, 2026
ASSET PRESERVATION ADVISORS, LLC
Investment adviser

SEC file number

801-41636

Source date

March 30, 2026
ASSET PRESERVATION GROUP INC
Investment adviser

SEC file number

801-56931

Source date

March 25, 2026
ASSET RESURGENCE MAURITIUS MANAGER
Exempt reporting adviser

SEC file number

802-119273

Source date

March 31, 2026
ASSET RISK CONSULTANTS (UK) LIMITED
Investment adviser

SEC file number

801-113652

Source date

November 19, 2025
ASSET STRATEGY ADVISORS, LLC
Investment adviser

SEC file number

801-66549

Source date

March 31, 2026
ASSET STRATEGY CONSULTANTS LLC
Investment adviser

SEC file number

801-55215

Source date

June 17, 2026
ASSET STRATEGY RETIREMENT PLAN CONSULTANTS, LLC
Investment adviser

SEC file number

801-113160

Source date

March 4, 2026
ASSET VALUE INVESTORS LIMITED
Investment adviser

SEC file number

801-65228

Source date

December 23, 2025
ASSETBUILDER, INC.
Investment adviser

SEC file number

801-67404

Source date

April 22, 2026
ASSETFORT ADVISORS LLC
Exempt reporting adviser

SEC file number

802-116684

Source date

March 31, 2026
ASSETGRADE, LLC
Investment adviser

SEC file number

801-119499

Source date

July 16, 2026
ASSETMARK, INC.
Investment adviser

SEC file number

801-56323

Source date

September 14, 2026
ASSOCIATED INVESTMENT SERVICES, INC.
Investment adviser

SEC file number

801-71639

Source date

April 6, 2026
ASSOCIATION FINANCIAL SERVICES INC.
Investment adviser

SEC file number

801-68446

Source date

August 22, 2026
ASSURANCE MEZZANINE CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-110646

Source date

March 5, 2026
ASSURED HEALTHCARE PARTNERS LLC
Investment adviser

SEC file number

801-127498

Source date

March 20, 2026
ASSURED RETIREMENT FINANCIAL GROUP, INC.
Investment adviser

SEC file number

801-129292

Source date

March 29, 2026
ASSUREDPARTNERS INVESTMENT ADVISORS, LLC
Investment adviser

SEC file number

801-117771

Source date

July 16, 2026
AST INVESTMENT SERVICES, INC.
Investment adviser

SEC file number

801-40532

Source date

September 25, 2026
ASTA INVESTMENT ADVISORS LTD
Exempt reporting adviser

SEC file number

802-118376

Source date

June 19, 2026
ASTANOR GP S.AR.L.
Exempt reporting adviser

SEC file number

802-130670

Source date

March 30, 2026
A-STAR PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-122565

Source date

March 31, 2026
ASTARA CAPITAL PARTNERS, L.P.
Investment adviser

SEC file number

801-128393

Source date

May 4, 2026
ASTARIS CAPITAL MANAGEMENT LLP
Investment adviser

SEC file number

801-132432

Source date

June 25, 2026
ASTARTE CAPITAL PARTNERS LLP
Exempt reporting adviser

SEC file number

802-125827

Source date

September 25, 2025
ASTATINE ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-119855

Source date

March 31, 2026
ASTERION INDUSTRIAL PARTNERS, SGEIC, S.A.
Exempt reporting adviser

SEC file number

802-114722

Source date

March 16, 2026
ASTEROZOA MANAGEMENT LLC
Investment adviser

SEC file number

801-122731

Source date

September 11, 2026
ASTIGNES CAPITAL ASIA PTE. LTD.
Investment adviser

SEC file number

801-71017

Source date

March 26, 2026
ASTIRA CAPITAL PARTNERS LP
Investment adviser

SEC file number

801-128816

Source date

March 31, 2026
ASTON CAPITAL MANAGEMENT
Investment adviser

SEC file number

801-112788

Source date

March 13, 2026
ASTORG ADVISORY SERVICES
Exempt reporting adviser

SEC file number

802-125880

Source date

March 26, 2026
ASTORG ASSET MANAGEMENT SARL
Exempt reporting adviser

SEC file number

802-110264

Source date

March 30, 2026
ASTORG PARTNERS
Exempt reporting adviser

SEC file number

802-75246

Source date

March 26, 2026
ASTORI VENTURES LLC
Exempt reporting adviser

SEC file number

802-133723

Source date

March 30, 2026
ASTORIA PORTFOLIO ADVISORS LLC
Investment adviser

SEC file number

801-119078

Source date

September 9, 2026
ASTORIA STRATEGIC WEALTH, INC.
Investment adviser

SEC file number

801-101469

Source date

July 23, 2026
ASTRA ASSET MANAGEMENT UK LIMITED
Investment adviser

SEC file number

801-120434

Source date

July 28, 2026
ASTRA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-112732

Source date

March 25, 2026
ASTRA VENTURES INVESTMENT PARTNERS LLC
Investment adviser

SEC file number

801-130617

Source date

April 15, 2026
ASTRA WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-125765

Source date

March 25, 2026
ASTRAL CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-113096

Source date

March 30, 2026
ASTRALIS CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-136616

Source date

June 5, 2026
ASTRAVIA FAMILY WEALTH OFFICE LLC
Investment adviser

SEC file number

801-136797

Source date

September 14, 2026
A-STREET MANAGEMENT LP
Investment adviser

SEC file number

801-134786

Source date

March 16, 2026
ASTRIS ADVISORY JAPAN K.K.
Investment adviser

SEC file number

801-118275

Source date

February 2, 2026
ASTROFLUX CAPITAL, INC.
Exempt reporting adviser

SEC file number

802-137110

Source date

July 17, 2026
ASYLUM MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-129695

Source date

February 26, 2026
ASYMMETRIC CAPITAL MANAGEMENT, LLC.
Investment adviser

SEC file number

801-111736

Source date

March 25, 2026
ASYMMETRIC CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-122110

Source date

March 30, 2026
ASYMMETRIC TECHNOLOGIES, LLC
Exempt reporting adviser

SEC file number

802-126253

Source date

March 31, 2026
ASYMMETRICAL CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-128073

Source date

February 3, 2026
AT ONE VENTURES OPCO, LLC
Exempt reporting adviser

SEC file number

802-121031

Source date

March 23, 2026
ATAIROS MANAGEMENT, L.P.
Investment adviser

SEC file number

801-106882

Source date

July 21, 2026
ATALA FINANCIAL INC
Investment adviser

SEC file number

801-123628

Source date

March 6, 2026
ATALAN CAPITAL PARTNERS, LP
Investment adviser

SEC file number

801-100443

Source date

April 27, 2026
ATALANTA SOSNOFF CAPITAL, LLC
Investment adviser

SEC file number

801-16739

Source date

March 31, 2026
ATALANTA SOSNOFF MANAGEMENT, LLC
Investment adviser

SEC file number

801-22856

Source date

March 31, 2026
ATARAXIA PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-128912

Source date

March 27, 2026
ATB CAPITAL MARKETS USA INC.
Investment adviser

SEC file number

801-128511

Source date

August 18, 2026
ATCAP PARTNERS, LLC
Investment adviser

SEC file number

801-72617

Source date

April 1, 2026
ATEGENOS CAPITAL, LLC
Investment adviser

SEC file number

801-128024

Source date

March 26, 2026
ATEGRA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-112827

Source date

March 4, 2026
ATERIAN INVESTMENT MANAGEMENT, LP
Investment adviser

SEC file number

801-78857

Source date

March 31, 2026
ATFS ADVISERS LLC
Investment adviser

SEC file number

801-128722

Source date

July 24, 2026
ATHENA INVESTMENT MANAGEMENT
Investment adviser

SEC file number

801-13100

Source date

March 31, 2026
ATHENA WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130326

Source date

March 18, 2026
ATHENS CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-75803

Source date

February 4, 2026
ATHIR CAPITAL LP
Exempt reporting adviser

SEC file number

802-133944

Source date

June 24, 2025
ATHOS CAPITAL LIMITED
Exempt reporting adviser

SEC file number

802-110844

Source date

March 24, 2026
ATHOS PRIVATE WEALTH LLC
Investment adviser

SEC file number

801-127736

Source date

March 31, 2026
ATHYRIUM CAPITAL MANAGEMENT LP
Investment adviser

SEC file number

801-73737

Source date

September 8, 2026
ATIKA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-100431

Source date

March 26, 2026
ATINC, LLC
Exempt reporting adviser

SEC file number

802-130091

Source date

April 17, 2026
ATIVO CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-65975

Source date

March 18, 2026
ATL ADVISOR LP
Investment adviser

SEC file number

801-80754

Source date

September 25, 2026
ATLA CAPITAL MANAGEMENT LLC
Investment adviser

SEC file number

801-128489

Source date

July 20, 2026
ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C.
Investment adviser

SEC file number

801-60673

Source date

March 26, 2026
ATLANTA CONSULTING GROUP ADVISORS, LLC
Investment adviser

SEC file number

801-112054

Source date

April 27, 2026
ATLANTIC CAPITAL STRATEGIES, INC.
Investment adviser

SEC file number

801-69289

Source date

March 6, 2026
ATLANTIC CREEK INVESTMENT MANAGEMENT, LLC
Investment adviser

SEC file number

801-80057

Source date

April 29, 2026
ATLANTIC EDGE PRIVATE WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-128750

Source date

April 8, 2026
ATLANTIC FAMILY WEALTH, LLC
Investment adviser

SEC file number

801-124705

Source date

March 20, 2026
ATLANTIC INVESTMENT MANAGEMENT, INC
Investment adviser

SEC file number

801-65319

Source date

March 19, 2026
ATLANTIC PRIVATE WEALTH, LLC
Investment adviser

SEC file number

801-120757

Source date

July 10, 2026
ATLANTIC RIDGE CAPITAL LLC
Exempt reporting adviser

SEC file number

802-135225

Source date

July 30, 2026
ATLANTIC STREET CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-107580

Source date

March 31, 2026
ATLANTIC UNION MUNICIPAL ADVISORS, INC
Investment adviser

SEC file number

801-129419

Source date

May 26, 2026
ATLANTICA VENTURES MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-129752

Source date

January 28, 2026
ATLANTIS WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-79013

Source date

March 24, 2026
ATLAS ASSET MANAGEMENT LLC
Investment adviser

SEC file number

801-119872

Source date

December 18, 2025
ATLAS BROWN, INC.
Investment adviser

SEC file number

801-63702

Source date

March 27, 2026
ATLAS CAPITAL ADVISORS INC.
Investment adviser

SEC file number

801-66544

Source date

March 31, 2026
ATLAS CAPITAL MANAGEMENT CORP
Investment adviser

SEC file number

801-47277

Source date

March 19, 2026
ATLAS CAPITAL TEAM INC.
Investment adviser

SEC file number

801-130378

Source date

March 25, 2026
ATLAS FIDUCIARY SERVICES, INC.
Investment adviser

SEC file number

801-125792

Source date

July 13, 2026
ATLAS FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-129830

Source date

February 11, 2026
ATLAS FRM LLC
Investment adviser

SEC file number

801-73745

Source date

March 25, 2026
ATLAS GROVE MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-134296

Source date

March 31, 2026
ATLAS HEALTH CAPITAL ADVISERS LLP
Exempt reporting adviser

SEC file number

802-136495

Source date

May 14, 2026
ATLAS INFRASTRUCTURE PARTNERS (UK) LTD
Investment adviser

SEC file number

801-110882

Source date

September 22, 2026
ATLAS LEGACY ADVISORS LLC
Investment adviser

SEC file number

801-129575

Source date

March 16, 2026
ATLAS MERCHANT CAPITAL LLC
Investment adviser

SEC file number

801-80711

Source date

March 28, 2026
ATLAS PEAK CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-80409

Source date

March 27, 2026
ATLAS PRIVATE WEALTH ADVISORS, LLC
Investment adviser

SEC file number

801-107919

Source date

July 22, 2026
ATLAS SQUARE PARTNERS (HK) LIMITED
Investment adviser

SEC file number

801-129152

Source date

June 15, 2026
ATLAS VENTURE ADVISORS, INC.
Exempt reporting adviser

SEC file number

802-75376

Source date

March 30, 2026
ATLAS VENTURE LIFE SCIENCE ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-81032

Source date

March 31, 2026
ATLAS WEALTH LLC
Investment adviser

SEC file number

801-125856

Source date

April 28, 2026
ATLAS WEALTH PARTNERS LLC
Investment adviser

SEC file number

801-102469

Source date

March 10, 2026
ATLASINVEST HOLDING BVBA
Exempt reporting adviser

SEC file number

802-78488

Source date

March 26, 2026
ATLASMARK FINANCIAL, INC.
Investment adviser

SEC file number

801-107434

Source date

January 12, 2026
ATLATL ADVISERS LLC
Investment adviser

SEC file number

801-129418

Source date

May 21, 2026
ATMA ADVISORS LTD.
Exempt reporting adviser

SEC file number

802-127842

Source date

April 30, 2026
ATMANNA PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132113

Source date

March 31, 2026
ATMOS ADVISORY, LLC
Investment adviser

SEC file number

801-120863

Source date

January 23, 2026
ATMOSPHERE CAPITAL GESTAO DE RECURSOS LTDA
Exempt reporting adviser

SEC file number

802-130256

Source date

February 18, 2026
ATOM INVESTORS LP
Investment adviser

SEC file number

801-113261

Source date

July 27, 2026
ATOMIC INVEST LLC
Investment adviser

SEC file number

801-121121

Source date

August 6, 2026
ATOMIC LABS, LLC
Exempt reporting adviser

SEC file number

802-115178

Source date

March 27, 2026
ATOMIC MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-118611

Source date

March 27, 2026
ATOMIC PARTNERS CONSULTING LLC
Exempt reporting adviser

SEC file number

802-137201

Source date

July 31, 2026
ATOMICO (UK) PARTNERS LLP
Exempt reporting adviser

SEC file number

802-115059

Source date

June 8, 2026
ATOMICO MANAGEMENT, LTD.
Exempt reporting adviser

SEC file number

802-77513

Source date

March 12, 2026
ATOMVEST LIMITED
Exempt reporting adviser

SEC file number

802-108452

Source date

June 30, 2026
ATON ADVISORS, LLC
Investment adviser

SEC file number

801-135573

Source date

February 13, 2026
ATON FINANCIAL LLC
Investment adviser

SEC file number

801-112925

Source date

July 1, 2026
ATREIDES MANAGEMENT, LP
Investment adviser

SEC file number

801-115226

Source date

August 28, 2026
ATREVIDA PARTNERS, LLC
Exempt reporting adviser

SEC file number

802-78885

Source date

March 30, 2026
ATRIA INVESTMENTS, INC.
Investment adviser

SEC file number

801-67829

Source date

July 31, 2026
ATROPOS CAPITAL MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-125706

Source date

May 1, 2026
ATRUM MANAGEMENT LIMITED
Exempt reporting adviser

SEC file number

802-131570

Source date

March 31, 2026
ATRUM ONE LIMITED
Exempt reporting adviser

SEC file number

802-128874

Source date

March 27, 2026
ATTENTIVE INVESTMENTS, LLC
Investment adviser

SEC file number

801-121822

Source date

February 12, 2026
ATTESSA CAPITAL LLC
Investment adviser

SEC file number

801-129457

Source date

August 17, 2026
ATTESTOR LIMITED
Exempt reporting adviser

SEC file number

802-75682

Source date

March 19, 2026
ATTICUS WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-113424

Source date

May 22, 2026
ATTINGER, LLC
Investment adviser

SEC file number

801-119984

Source date

June 26, 2026
ATTLEBORO WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-134205

Source date

May 5, 2026
ATTUCKS ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-60958

Source date

March 18, 2026
ATTUNE WEALTH MANAGEMENT LLC
Investment adviser

SEC file number

801-136441

Source date

September 18, 2026
ATTUNGA CAPITAL PTY LTD
Exempt reporting adviser

SEC file number

802-127969

Source date

September 16, 2026
ATV CAPITAL MANAGEMENT, INC.
Exempt reporting adviser

SEC file number

802-75329

Source date

March 27, 2026
ATV GP (VI) LLC
Exempt reporting adviser

SEC file number

802-131922

Source date

January 15, 2026
ATW PARTNERS LLC
Investment adviser

SEC file number

801-119219

Source date

May 4, 2026
ATW SPAC MANAGEMENT LLC
Investment adviser

SEC file number

801-121599

Source date

April 24, 2026
ATWATER CAPITAL, LLC
Investment adviser

SEC file number

801-121164

Source date

March 19, 2026
ATWATER MALICK, LLC
Investment adviser

SEC file number

801-107806

Source date

April 8, 2026
ATWATER WEALTH MANAGEMENT, INC.
Investment adviser

SEC file number

801-113808

Source date

March 12, 2026
ATWOOD & PALMER, INC.
Investment adviser

SEC file number

801-36665

Source date

August 25, 2026
ATWOOD FINANCIAL PLANNING LLC
Investment adviser

SEC file number

801-122029

Source date

February 19, 2026
ATX FINANCIAL PLANNING, LLC
Investment adviser

SEC file number

801-130875

Source date

March 25, 2026
ATYANT CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-96250

Source date

August 25, 2026
AUA PRIVATE EQUITY PARTNERS, LLC
Investment adviser

SEC file number

801-79337

Source date

March 31, 2026
AUBREY CAPITAL MANAGEMENT LIMITED
Investment adviser

SEC file number

801-108789

Source date

August 7, 2026
AUCTUS ADVISORS LLC
Investment adviser

SEC file number

801-111919

Source date

August 14, 2026
AUCTUS FUND MANGEMENT LLC
Exempt reporting adviser

SEC file number

802-121628

Source date

August 20, 2026
AUDACIOUS MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-121032

Source date

March 27, 2026
AUDACITY VENTURE MANAGEMENT, LLC
Exempt reporting adviser

SEC file number

802-130988

Source date

April 2, 2025
AUDAX MANAGEMENT COMPANY (NY), LLC
Investment adviser

SEC file number

801-72999

Source date

August 4, 2026
AUDAX MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-73306

Source date

July 21, 2026
AUDAX PDB MANAGEMENT COMPANY, LLC
Investment adviser

SEC file number

801-132131

Source date

August 5, 2026
AUDENT GLOBAL ASSET MANAGEMENT, LLC
Investment adviser

SEC file number

801-118707

Source date

September 25, 2026
AUDEO ADVISORS LLC
Exempt reporting adviser

SEC file number

802-135708

Source date

February 26, 2026
AUDION MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-74812

Source date

March 9, 2026
AUDUMORE CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-137071

Source date

July 14, 2026
AUERBACH INVESTMENT SERVICES, LLC
Investment adviser

SEC file number

801-135554

Source date

May 15, 2026
AUFMAN ASSOCIATES INC
Investment adviser

SEC file number

801-19122

Source date

March 30, 2026
AUGC PARTNERS LLC
Exempt reporting adviser

SEC file number

802-132411

Source date

January 28, 2026
AUGMENT ADVISORS, LLC
Investment adviser

SEC file number

801-134812

Source date

April 14, 2026
AUGMENT INFRASTRUCTURE MANAGERS ADVISORY LLC
Investment adviser

SEC file number

801-121927

Source date

March 20, 2026
AUGNITION GLOBAL INVESTORS, LP
Exempt reporting adviser

SEC file number

802-137061

Source date

July 10, 2026
AUGUREY CAPITAL ADVISORS, LLC
Exempt reporting adviser

SEC file number

802-131377

Source date

March 20, 2026
AUGUST CAPITAL MASTER MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-126625

Source date

March 30, 2026
AUGUST EQUITY LLP
Exempt reporting adviser

SEC file number

802-76439

Source date

June 18, 2026
AUGUST WEALTH ADVISORS LLC
Investment adviser

SEC file number

801-134820

Source date

July 6, 2026
AUGUSTINE ASSET MANAGEMENT INC
Investment adviser

SEC file number

801-23187

Source date

September 2, 2026
AULDBRASS PARTNERS, LP
Investment adviser

SEC file number

801-123467

Source date

September 3, 2026
AULIS CAPITAL GP I, LP
Exempt reporting adviser

SEC file number

802-136055

Source date

March 30, 2026
AULIS CAPITAL US ADVISOR, LLC
Exempt reporting adviser

SEC file number

802-135857

Source date

March 16, 2026
AULL & MONROE INVESTMENT MANAGEMENT CORP
Investment adviser

SEC file number

801-35841

Source date

March 23, 2026
AUOUR INVESTMENTS LLC
Investment adviser

SEC file number

801-80544

Source date

March 25, 2026
AURA CAPITAL, LLC
Exempt reporting adviser

SEC file number

802-135198

Source date

February 4, 2026
AURA INVESTMENTS LLC
Investment adviser

SEC file number

801-137085

Source date

July 15, 2026
AURANSER INC.
Investment adviser

SEC file number

801-136163

Source date

August 27, 2026
AURDAN CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-129781

Source date

March 30, 2026
AUREANA CAPITAL MANAGEMENT, LLC
Investment adviser

SEC file number

801-71777

Source date

August 18, 2026
AURELIA FOUNDRY MANAGEMENT COMPANY, LLC
Exempt reporting adviser

SEC file number

802-128800

Source date

March 31, 2026
AURELIEN CAPITAL MANAGEMENT LLC
Exempt reporting adviser

SEC file number

802-135861

Source date

March 16, 2026
AURELIUS CAPITAL MANAGEMENT, LP
Investment adviser

SEC file number

801-72911

Source date

April 29, 2026
AURELIUS FAMILY OFFICE, LLC
Investment adviser

SEC file number

801-126682

Source date

September 17, 2026
AURELIUS INVESTMENT ADVISORY INC.
Exempt reporting adviser

SEC file number

802-129409

Source date

March 31, 2026
AURELIUS INVESTMENT ADVISORY LIMITED
Exempt reporting adviser

SEC file number

802-121748

Source date

March 31, 2026
AURELIUS VENTURES, LLC
Exempt reporting adviser

SEC file number

802-129280

Source date

May 5, 2026
AUREON PARTNERS LLC
Investment adviser

SEC file number

801-134614

Source date

March 11, 2026
AUREUM WEALTH MANAGEMENT, LLC
Investment adviser

SEC file number

801-130362

Source date

April 17, 2026