| BRECK PARTNERS, LLC → | RIA / FO | – | FRISCO, TX | CRD 301203 |
| BREGAL GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 285886 |
| BREGAL INVESTMENTS LLP → | RIA / FO | – | LONDON | CRD 285885 |
| BREGAL NORTH AMERICA GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 285884 |
| BREGAL PARTNERS II GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 301346 |
| BREGAL SAGEMOUNT BASECAMP I GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 335720 |
| BREGAL SAGEMOUNT BASECAMP I JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 335719 |
| BREGAL SAGEMOUNT CREDIT OPPORTUNITIES FUND II GP LIMITED → | RIA / FO | – | ST HELIER | CRD 301347 |
| BREGAL SAGEMOUNT CREDIT OPPORTUNITIES FUND II MANCO LIMITED → | RIA / FO | – | ST HELIER | CRD 301348 |
| BREGAL SAGEMOUNT CREDIT OPPORTUNITIES FUND II-O GP LTD → | RIA / FO | – | ST HELIER | CRD 301414 |
| BREGAL SAGEMOUNT II GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 285882 |
| BREGAL SAGEMOUNT II JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 285875 |
| BREGAL SAGEMOUNT III GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 307649 |
| BREGAL SAGEMOUNT III JERSEY LIMITED → | RIA / FO | – | ST HELIER | CRD 307650 |
| BREGAL SAGEMOUNT IV GENERAL PARTNER JERSEY LIMITED → | RIA / FO | – | ST HELIER, JERSEY | CRD 325779 |
| BREGAL SAGEMOUNT IV JERSEY LIMITED → | RIA / FO | – | ST HELIER, JERSEY | CRD 325780 |
| BREGAL UNTERNEHMERKAPITAL ESH GENERAL PARTNER S.À.R.L. → | RIA / FO | – | SENNINGERBERG | CRD 336365 |
| BREGAL UNTERNEHMERKAPITAL II GENERAL PARTNER S.À.R.L. → | RIA / FO | – | LUXEMBOURG | CRD 336369 |
| BREGAL UNTERNEHMERKAPITAL III GENERAL PARTNER S.À.R.L. → | RIA / FO | – | SENNINGERBERG | CRD 336368 |
| BREGAL UNTERNEHMERKAPITAL IV GENERAL PARTNER S.À.R.L. → | RIA / FO | – | STRASSEN | CRD 336351 |
| BREGAL UNTERNEHMERKAPITAL IV GP FEEDER LIMITED → | RIA / FO | – | JERSEY, CHANNEL ISLANDS, ST HELIER | CRD 336366 |
| BREGAL UNTERNEHMERKAPITAL UK LTD → | RIA / FO | – | LONDON | CRD 336370 |
| BRENTON POINT CAPITAL PARTNERS, LLC → | RIA / FO | – | NEW YORK, NY | CRD 332485 |
| BREVAN HOWARD (HONG KONG) LIMITED → | RIA / FO | – | CENTRAL | CRD 161287 |
| BREVAN HOWARD (TEL AVIV) LTD → | RIA / FO | – | TEL AVIV, JAFFA | CRD 323961 |
| BREVAN HOWARD ASSET MANAGEMENT, LLP → | RIA / FO | – | LONDON | CRD 161296 |
| BREVAN HOWARD CAPITAL MANAGEMENT, LP → | RIA / FO | – | ST HELIER | CRD 161292 |
| BREVAN HOWARD CAYMAN SEZC LTD → | RIA / FO | – | GEORGE TOWN, GRAND CAYMAN | CRD 321190 |
| BREVAN HOWARD INVESTMENT MANAGEMENT LIMITED → | RIA / FO | – | LONDON | CRD 336211 |
| BREVAN HOWARD INVESTMENT PRODUCTS LIMITED → | RIA / FO | – | ST. HELIER | CRD 161294 |
| BREVAN HOWARD PRIVATE LIMITED → | RIA / FO | – | SINGAPORE | CRD 286012 |
| BREWER LANE MANAGEMENT, LLC → | RIA / FO | – | BOSTON, MA | CRD 307293 |
| BREYTA CAPITAL PARTNERS → | RIA / FO | – | BROOKLYN, NY | CRD 326510 |
| BRICK & MORTAR VENTURES MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 292884 |
| BRICK STREET GROUP LLC → | RIA / FO | – | WACO, TX | CRD 322089 |
| BRICKETT POINT INVESTMENTS, LLC → | RIA / FO | – | – | CRD 337974 |
| BRIDGE INVESTMENTS LLC → | RIA / FO | – | – | CRD 338057 |
| BRIDGE LINE ADVISORS LLC → | RIA / FO | – | BOCA RATON, FL | CRD 318053 |
| BRIDGEBAY FINANCIAL, INC. → | RIA / FO | – | SAN RAMON, CA | CRD 130279 |
| BRIDGEPOINT ADVISERS II LIMITED → | RIA / FO | – | LONDON | CRD 294326 |
| BRIDGEPOINT ADVISERS LIMITED → | RIA / FO | – | LONDON | CRD 161920 |
| BRIDGEPOINT ADVISERS UK LIMITED → | RIA / FO | – | LONDON, GREATER LONDON | CRD 341940 |
| BRIDGEPOINT CREDIT ADVISERS UK LIMITED → | RIA / FO | – | LONDON | CRD 309682 |
| BRIDGEPOINT CREDIT LIMITED → | RIA / FO | – | LONDON | CRD 314168 |
| BRIDGEPOINT CREDIT SERVICES SARL → | RIA / FO | – | LUXEMBOURG | CRD 314169 |
| BRIDGEPORT ACCESS SERIES LP → | RIA / FO | – | – | CRD 335691 |
| BRIDGEPORT MANAGEMENT SERVICES C LLC → | RIA / FO | – | CARDIFF, CA | CRD 338625 |
| BRIDGEPORT MANAGEMENT SERVICES, LLC → | RIA / FO | – | CARDIFF, CA | CRD 326650 |
| BRIDGES FUND MANAGEMENT LIMITED → | RIA / FO | – | LONDON | CRD 288482 |
| BRIDGES OUTCOMES LIMITED → | RIA / FO | – | LONDON | CRD 341384 |
| BRIDGES VENTURES INC. → | RIA / FO | – | LONDON | CRD 297821 |
| BRIDGESCALE, LLC → | RIA / FO | – | INCLINE VILLAGE, NV | CRD 161768 |
| BRIDLE PATH CAPITAL MANAGEMENT, LP → | RIA / FO | – | NEW YORK, NY | CRD 315894 |
| BRIGHT STAR CAPITAL MANAGEMENT, LLC → | RIA / FO | – | – | CRD 171507 |
| BRIGHT VALLEY CAPITAL LIMITED → | RIA / FO | – | HONG KONG | CRD 323827 |
| BRIGHT VENTURES → | RIA / FO | – | NEW YORK, NY | CRD 343001 |
| BRIGHTMIND VENTURES MANAGEMENT LLC → | RIA / FO | – | – | CRD 334113 |
| BRIGHTPLAN LLC → | RIA / FO | – | SAN JOSE, CA | CRD 283790 |
| BRILIONX INC → | RIA / FO | – | COLORADO SPRINGS, CO | CRD 339996 |
| BRINKMERE CAPITAL MANAGEMENT I, LP → | RIA / FO | – | JACKSONVILLE, FL | CRD 319459 |
| BRIO CAPITAL MANAGEMENT LLC → | RIA / FO | – | ROCKVILLE CENTRE, NY | CRD 171707 |
| BRISTOL CAPITAL ADVISORS, LLC → | RIA / FO | – | PARK CITY, UT | CRD 168936 |
| BRITANNICA CAPITAL MANAGEMENT LIMITED → | RIA / FO | – | NEW YORK, NY | CRD 318818 |
| BROAD HORIZON CAPITAL, LLC → | RIA / FO | – | NASHVILLE, TN | CRD 341868 |
| BROAD REACH INVESTMENT MANAGEMENT (US) LLC → | RIA / FO | – | NEW YORK, NY | CRD 323661 |
| BROADARCH CAPITAL, LLC → | RIA / FO | – | – | CRD 163837 |
| BROADSCALE GROUP LLC → | RIA / FO | – | NEW YORK, NY | CRD 307523 |
| BROADTREE PARTNERS MANAGEMENT, LLC → | RIA / FO | – | CHARLOTTE, NC | CRD 337682 |
| BROADVAIL CAPITAL PARTNERS, LLC → | RIA / FO | – | HOUSTON, TX | CRD 199514 |
| BROCK POND CAPITAL PARTNERS LLC → | RIA / FO | – | ANN ARBOR, MI | CRD 340414 |
| BROCKTON CAPITAL LLP → | RIA / FO | – | LONDON | CRD 161149 |
| BRONZE INVESTMENTS, LLC → | RIA / FO | – | – | CRD 304387 |
| BROOKLYN BRIDGE VENTURES, INC. → | RIA / FO | – | BROOKLYN, NY | CRD 166274 |
| BROOKSTONE PARTNERS IAC, INC. → | RIA / FO | – | NEW YORK, NY | CRD 299533 |
| BRUMMER & PARTNERS ASSET MANAGEMENT (UK) LTD → | RIA / FO | – | LONDON | CRD 338906 |
| BRV ASTER HOLDINGS LIMITED → | RIA / FO | – | HONG KONG | CRD 173552 |
| BRV LOTUS HOLDINGS LIMITED → | RIA / FO | – | HONG KONG | CRD 169541 |
| BRV MANAGEMENT CO, L.L.C. → | RIA / FO | – | SAN FRANCISCO, CA | CRD 160704 |
| BRYANT PARK FUNDING CLO MANAGEMENT LLC → | RIA / FO | – | NEW YORK, NY | CRD 331650 |
| BSF II GP, LLC → | RIA / FO | – | BERKELEY, CA | CRD 332646 |
| BSN CAPITAL PARTNERS LIMITED → | RIA / FO | – | LONDON | CRD 320862 |
| BSP ADVISORS LTD. → | RIA / FO | – | GEORGE TOWN, GRAND CAYMAN | CRD 162094 |
| BT REI MANAGER, LLC → | RIA / FO | – | MADISON, WI | CRD 334654 |
| BTEX GROUP LIMITED → | RIA / FO | – | DENVER, CO | CRD 339669 |
| BTG PACTUAL (UK) LIMITED → | RIA / FO | – | LONDON | CRD 159871 |
| BTG PACTUAL ASSET MANAGEMENT S.A. DTVM → | RIA / FO | – | BOTAFOGO, RIO DE JANEIRO | CRD 159875 |
| BTG PACTUAL GESTORA DE RECURSOS LTDA → | RIA / FO | – | SAO PAULO | CRD 160110 |
| BTNV MANAGEMENT, LLC → | RIA / FO | – | PITTSBURGH, PA | CRD 320932 |
| BU BREGAL UNTERNEHMERKAPITAL AG → | RIA / FO | – | ZUG | CRD 336363 |
| BU BREGAL UNTERNEHMERKAPITAL GMBH → | RIA / FO | – | MUNICH | CRD 336360 |
| BUCKLEY VENTURES MANAGEMENT COMPANY LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 308885 |
| BUENTRIP VENTURES → | RIA / FO | – | – | CRD 333095 |
| BUILDERS VC, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 288444 |
| BUILDING VENTURES, LLC → | RIA / FO | – | BOSTON, MA | CRD 300127 |
| BULICK CAPITAL ADVISORS → | RIA / FO | – | – | CRD 340053 |
| BULL & BEAR, LP → | RIA / FO | – | HOUSTON, TX | CRD 317904 |
| BULLPEN MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 166060 |
| BULLROCK MANAGEMENT LLC → | RIA / FO | – | SOUTH BURLINGTON, VT | CRD 336768 |
| BULLVC FUND MANAGEMENT LLC → | RIA / FO | – | BRENTWOOD, TN | CRD 311600 |
| BUNGALOW CAPITAL MANAGEMENT, LLC → | RIA / FO | – | – | CRD 315498 |