| CAPRIOLE INVESTMENTS LIMITED → | RIA / FO | – | ROAD TOWN | CRD 337409 |
| CAPSQUARE ASIA PARTNERS PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 325912 |
| CAPULA INVESTMENT MANAGEMENT ASIA LIMITED → | RIA / FO | – | CENTRAL | CRD 164564 |
| CAPULA INVESTMENT JAPAN LIMITED → | RIA / FO | – | TOKYO | CRD 163365 |
| CAPULA INVESTMENT MANAGEMENT (ME) LIMITED → | RIA / FO | – | ABU DHABI | CRD 341256 |
| CAPULA INVESTMENT MANAGEMENT LLP → | RIA / FO | – | LONDON | CRD 163364 |
| CAPULA INVESTMENT MANAGEMENT SINGAPORE PTE.LTD. → | RIA / FO | – | SINGAPORE | CRD 312483 |
| CAPULA INVESTMENT MANAGEMENT SWITZERLAND SARL → | RIA / FO | – | GENEVA | CRD 338211 |
| CAPULA MANAGEMENT LIMITED → | RIA / FO | – | GRAND CAYMAN | CRD 163729 |
| CAPVEST PARTNERS LLP → | RIA / FO | – | LONDON | CRD 161967 |
| CAPVIS AG → | RIA / FO | – | BAAR, ZUG | CRD 310701 |
| CAPYBARA MANAGEMENT, LLC → | RIA / FO | – | PORTLAND, OR | CRD 284209 |
| CARABELA INVESTMENTS LLC → | RIA / FO | – | TOMBALL, TX | CRD 336766 |
| CARBIDE VENTURES → | RIA / FO | – | PALO ALTO, CA | CRD 319214 |
| CARBON INFRASTRUCTURE PARTNERS CORP. → | RIA / FO | – | CALGARY, ALBERTA | CRD 159707 |
| CARBON REMOVAL PARTNERS AG → | RIA / FO | – | ZURICH | CRD 338056 |
| CARBYNE CAPITAL, LLC → | RIA / FO | – | MIAMI BEACH, FL | CRD 340997 |
| CARDINAL CAPITAL GROUP → | RIA / FO | – | DUBLIN 4 | CRD 171530 |
| CARDINAL COMPANIES, LLC → | RIA / FO | – | CHARLOTTE, NC | CRD 333429 |
| CARDINAL CSP INVESTMENTS GP, INC. → | RIA / FO | – | DALLAS, TX | CRD 307463 |
| CARLISLE MANAGEMENT COMPANY S.A.R.L. → | RIA / FO | – | LUXEMBOURG CITY | CRD 286131 |
| CARLO CAPITAL → | RIA / FO | – | – | CRD 331801 |
| CARNE GLOBAL FUND MANAGERS (IRELAND) LIMITED → | RIA / FO | – | DUBLIN | CRD 173794 |
| CARNE GLOBAL FUND MANAGERS (LUXEMBOURG) S.A. → | RIA / FO | – | LUXEMBOURG | CRD 304919 |
| CARNEGIE PARK CAPITAL LLC → | RIA / FO | – | – | CRD 317573 |
| CARNELIAN ENERGY CAPITAL MANAGEMENT, LP → | RIA / FO | – | HOUSTON, TX | CRD 270008 |
| CARPATHIAN CAPITAL, LLC → | RIA / FO | – | – | CRD 332934 |
| CARPEDIEM ADVISORS PRIVATE LIMITED → | RIA / FO | – | MUMBAI | CRD 334494 |
| CARRAIGHILL → | RIA / FO | – | DUBLIN | CRD 290703 |
| CARROLL STREET CAPITAL → | RIA / FO | – | NEW YORK, NY | CRD 334083 |
| CARROLLTON MINERAL PARTNERS GP, LP → | RIA / FO | – | DALLAS, TX | CRD 162202 |
| CARTA FINANCIERA → | RIA / FO | – | TORTOLA | CRD 306723 |
| CARTE VERTE MANAGEMENT LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 304948 |
| CARTESS INVESTMENT PARTNERS LLC → | RIA / FO | – | DALLAS, TX | CRD 317294 |
| CARTHAGE CAPITAL MANAGEMENT LLC → | RIA / FO | – | – | CRD 337863 |
| CASA VERDE CAPITAL, LLC → | RIA / FO | – | WEST HOLLYWOOD, CA | CRD 269907 |
| CASDER INSTITUTE OF WEALTH INC. → | RIA / FO | – | NEW YORK, NY | CRD 339172 |
| CASEY CAPITAL, LLC → | RIA / FO | – | SARASOTA, FL | CRD 160680 |
| CASSIUS FAMILY MANAGEMENT LLC → | RIA / FO | – | ATLANTA, GA | CRD 296899 |
| CASSIUS MANAGEMENT COMPANY, LLC → | RIA / FO | – | – | CRD 340215 |
| CASTIK CAPITAL SARL → | RIA / FO | – | LUXEMBOURG | CRD 309487 |
| CASTLE CREEK LAUNCHPAD → | RIA / FO | – | OAKLAND, CA | CRD 321741 |
| CASTLE ISLAND VENTURES → | RIA / FO | – | BOSTON, MA | CRD 298999 |
| CASTLE LIGHT PARTNERS LP → | RIA / FO | – | – | CRD 301246 |
| CASTLEBAR CAPITAL LLP → | RIA / FO | – | LONDON | CRD 327829 |
| CASTLEFORGE → | RIA / FO | – | LONDON | CRD 301341 |
| CATALYS PACIFIC, LLC → | RIA / FO | – | TOKYO | CRD 301379 |
| CATALYST CAPITAL MANAGEMENT LTD → | RIA / FO | – | LONDON | CRD 163348 |
| CATALYST FUNDS MANAGEMENT PTY LTD → | RIA / FO | – | SYDNEY NSW | CRD 316797 |
| CATALYST INVESTORS, L.L.C. → | RIA / FO | – | NEW YORK, NY | CRD 156947 |
| CATARIA CAPITAL MANAGEMENT LP → | RIA / FO | – | BOSTON, MA | CRD 299042 |
| CATCH POINT RIGHTS PARTNERS LP → | RIA / FO | – | BOSTON, MA | CRD 310136 |
| CATEGORY VENTURES MANAGEMENT COMPANY, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 334355 |
| CATO PARTNERS MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 161201 |
| CAUSATION VENTURES, L.L.C. → | RIA / FO | – | – | CRD 325506 |
| CAUSEWAY MANAGEMENT II, LLC → | RIA / FO | – | CAMBRIDGE, MA | CRD 301351 |
| CAUSEWAY MEDIA PARTNERS → | RIA / FO | – | CAMBRIDGE, MA | CRD 167916 |
| CAVALRY MANAGEMENT GROUP → | RIA / FO | – | SAN FRANCISCO, CA | CRD 167937 |
| CAVALRY MANAGEMENT GROUP 2, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 336850 |
| CAXTON (MONACO) S.A.M. → | RIA / FO | – | MONACO | CRD 313868 |
| CAXTON (SINGAPORE) PTE LTD. → | RIA / FO | – | SINGAPORE | CRD 333151 |
| CAXTON ASSET MANAGEMENT (DIFC) LIMITED → | RIA / FO | – | DUBAI, DIFC | CRD 333152 |
| CAYGAN CAPITAL PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 171482 |
| CBPE → | RIA / FO | – | LONDON | CRD 160901 |
| CBRE INVESTMENT MANAGEMENT (ASIA PACIFIC) PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 284495 |
| CBRE INVESTMENT MANAGEMENT (SHANGHAI) CO., LTD. → | RIA / FO | – | SHANGHAI | CRD 163545 |
| CBRE INVESTMENT MANAGEMENT LUXEMBOURG AIFM S.A R.L. → | RIA / FO | – | LUXEMBOURG | CRD 290000 |
| CC CHINA RETAIL PROPERTIES GP LIMITED → | RIA / FO | – | HONG KONG | CRD 162116 |
| CC CHINA RETAIL PROPERTIES MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 162114 |
| CC REAL ESTATE ADVISORY LIMITED → | RIA / FO | – | HONG KONG | CRD 162112 |
| CCAVENTUS GLOBAL CREDIT MANAGEMENT LLC → | RIA / FO | – | NEW YORK, NY | CRD 342500 |
| CCM CORE IM LLC → | RIA / FO | – | MIAMI BEACH, FL | CRD 340365 |
| CCP GP LTD. → | RIA / FO | – | HONG KONG | CRD 162135 |
| CCP II ADVISORY LTD. → | RIA / FO | – | HONG KONG | CRD 162132 |
| CCP II GP LTD. → | RIA / FO | – | HONG KONG | CRD 162136 |
| CCV MANAGEMENT LIMITED → | RIA / FO | – | BEIJING | CRD 311080 |
| CD CAPITAL ASSET MANAGEMENT LIMITED → | RIA / FO | – | LONDON, ENGLAND | CRD 290160 |
| CDH MID MARKET MANAGEMENT COMPANY LIMITED → | RIA / FO | – | KOWLOON, HONG KONG | CRD 285756 |
| CDH VENTURE MANAGEMENT COMPANY LIMITED → | RIA / FO | – | HONG KONG | CRD 163805 |
| CDH VENTURE MANAGEMENT III COMPANY LIMITED → | RIA / FO | – | HONG KONG | CRD 166092 |
| CDIB CAPITAL INTERNATIONAL (HONG KONG) CORPORATION LIMITED → | RIA / FO | – | ADMIRALTY | CRD 305691 |
| CDIB CAPITAL INTERNATIONAL (USA) CORPORATION → | RIA / FO | – | NEW YORK, NY | CRD 297723 |
| CDIB CAPITAL INTERNATIONAL CORPORATION → | RIA / FO | – | GRAND CAYMAN | CRD 237786 |
| CDPQ GLOBAL INFRASTRUCTURE INC. → | RIA / FO | – | MONTREAL, QUEBEC | CRD 338423 |
| CEDAR CAPITAL GROUP LP → | RIA / FO | – | – | CRD 325369 |
| CEDAR PARK CAPITAL MANAGEMENT, L.P. → | RIA / FO | – | NEW YORK, NY | CRD 317713 |
| CEDAR TRACE CAPITAL MANAGEMENT LIMITED → | RIA / FO | – | HAMILTON | CRD 339885 |
| CEDARGOLD CONSULTING INC. → | RIA / FO | – | – | CRD 286326 |
| CEFI CAPITAL, LLC → | RIA / FO | – | SAN JUAN, PR | CRD 304204 |
| CEI VENTURES, INC. → | RIA / FO | – | BRUNSWICK, ME | CRD 316300 |
| CELERATEX CAPITAL LIMITED → | RIA / FO | – | GEORGE TOWN, GRAND CAYMAN | CRD 342330 |
| CELERO CAPITAL FUND MANAGER AB → | RIA / FO | – | STOCKHOLM | CRD 342638 |
| CELESTA → | RIA / FO | – | SAN MATEO, CA | CRD 310575 |
| CELF ADVISORS LLP → | RIA / FO | – | LONDON | CRD 162303 |
| CENTANA MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 282257 |
| CENTER15 CAPITAL LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 338877 |
| CENTERHARBOR CANAPI VENTURES INVESTMENT ADVISOR LLP → | RIA / FO | – | WASHINGTON, DC | CRD 298958 |
| CENTERLINE INVESTMENT MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 294722 |
| CENTRAL ASSET INVESTMENTS AND MANAGEMENT HOLDINGS (HK) LIMITED → | RIA / FO | – | HONG KONG | CRD 282479 |
| CENTURION ASSET MANAGEMENT INC. → | RIA / FO | – | TORONTO, ONTARIO | CRD 310675 |