| CAPITAL FOUR AIFM A/S → | RIA / FO | – | COPENHAGEN, COPENHAGEN | CRD 305862 |
| CAPITAL FUND MANAGEMENT LLP → | RIA / FO | – | LONDON | CRD 282279 |
| CAPITAL FUND MANAGEMENT S.A. → | 13F manager | – | – | CIK 1323645 |
| Capital Group Investment Management Pte. Ltd. → | 13F manager | – | – | CIK 1939970 |
| Capital Group Private Client Services, Inc. → | 13F manager | – | – | CIK 1857666 |
| Capital Impact Advisors, LLC → | 13F manager | – | – | CIK 1602198 |
| Capital Innovations LLC → | 13F manager | – | – | CIK 1596076 |
| CAPITAL INSIGHT PARTNERS, LLC → | 13F manager | – | – | CIK 1664385 |
| Capital International Investors → | 13F manager | – | – | CIK 1562230 |
| CAPITAL INTERNATIONAL LTD /CA/ → | 13F manager | – | – | CIK 1065350 |
| Capital International Sarl → | 13F manager | – | – | CIK 1065349 |
| Capital International, Inc./CA/ → | 13F manager | – | – | CIK 895213 |
| Capital Investment Advisors, LLC → | 13F manager | – | – | CIK 1582732 |
| Capital Investment Advisory Services, LLC → | 13F manager | – | – | CIK 1659203 |
| Capital Investment Counsel, Inc → | 13F manager | – | – | CIK 1418421 |
| Capital Investment Counsel, LLC → | 13F manager | – | – | CIK 2033609 |
| Capital Investment Management, Inc. → | 13F manager | – | – | CIK 2124549 |
| Capital Investment Services of America, Inc. → | 13F manager | – | – | CIK 811360 |
| CAPITAL K → | RIA / FO | – | – | CRD 330562 |
| CAPITAL MANAGEMENT ASSOCIATES /NY/ → | 13F manager | – | – | CIK 825293 |
| Capital Management Associates, Inc → | 13F manager | – | – | CIK 2008851 |
| CAPITAL MANAGEMENT CORP /VA → | 13F manager | – | – | CIK 1074273 |
| CAPITAL MARKET SECURITIES, INC → | RIA / FO | – | – | CRD 319344 |
| Capital Markets Trading UK LLP → | 13F manager | – | – | CIK 1719165 |
| CAPITAL MIDWEST ADVISORS II, LLC → | RIA / FO | – | MEQUON, WI | CRD 164385 |
| CAPITAL MIDWEST ADVISORS III → | RIA / FO | – | MEQUON, WI | CRD 282974 |
| Capital Planning Advisors, LLC → | 13F manager | – | – | CIK 1631941 |
| Capital Planning LLC → | 13F manager | – | – | CIK 1790688 |
| CAPITAL RESEARCH COMPANY → | RIA / FO | – | LOS ANGELES, CA | CRD 110684 |
| Capital Research Global Investors → | 13F manager | – | – | CIK 1422848 |
| CAPITAL RETURNS MANAGEMENT, LLC → | RIA / FO | – | – | CRD 163104 |
| CAPITAL SOLUTIONS → | RIA / FO | – | BLUE BELL, PA | CRD 283533 |
| Capital Square, LLC → | 13F manager | – | – | CIK 1798736 |
| Capital Squared Financial LLC → | 13F manager | – | – | CIK 2128691 |
| CAPITAL TODAY CHINA GROWTH MANAGEMENT II LIMITED → | RIA / FO | – | HONG KONG | CRD 283436 |
| Capital Today Evergreen Fund, L.P. → | 13F manager | – | – | CIK 1625502 |
| CAPITAL TODAY RIVER MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 300303 |
| Capital United Casa Lucera I, LLC → | Issuer | – | – | CIK 2139030 |
| Capital Wealth Alliance, LLC → | 13F manager | – | – | CIK 1803277 |
| CAPITAL WEALTH MANAGEMENT, LLC → | 13F manager | – | – | CIK 1730456 |
| Capital Wealth Planning, LLC → | 13F manager | – | – | CIK 1566728 |
| Capital World Investors → | 13F manager | – | – | CIK 1422849 |
| CAPITAL Z INVESTMENT PARTNERS (HONG KONG) LIMITED → | RIA / FO | – | CAUSEWAY BAY | CRD 159847 |
| CapitalatWork S.A. → | 13F manager | – | – | CIK 2135126 |
| CAPITALINE ADVISORS, LLC → | RIA / FO | – | BROOKINGS, SD | CRD 319382 |
| CAPITALMATH LTD → | RIA / FO | – | LOS ANGELES, CA | CRD 337794 |
| CAPITALWORKS ADVISORS LLP → | RIA / FO | – | LONDON, GREATER LONDON | CRD 299057 |
| CAPITALWORKS MANAGEMENT (GUERNSEY) LIMITED → | RIA / FO | – | ST PETER PORT | CRD 319165 |
| CAPITALWORKS PRIVATE EQUITY ADVISOR LIMITED → | RIA / FO | – | GEORGE TOWN | CRD 168804 |
| CAPITALWORKS PRIVATE EQUITY ADVISOR PROPRIETARY LIMITED → | RIA / FO | – | JOHANNESBURG, GAUTENG | CRD 298759 |
| CAPITALX → | RIA / FO | – | – | CRD 310537 |
| Capitano Strategic Energy, Limited Partnership → | Issuer | – | – | CIK 2141881 |
| Capitol Family Office, Inc. → | 13F manager | – | – | CIK 1863768 |
| CAPITOLIS LIQUID GLOBAL MARKETS LLC → | 13F manager | – | – | CIK 2094379 |
| CAPITON AG → | RIA / FO | – | BERLIN | CRD 161091 |
| Caplan Deborah H → | 13F manager | – | – | CIK 0001574454 |
| CAPMAN AB → | RIA / FO | – | STOCKHOLM, STOCKHOLM | CRD 319307 |
| CAPMAN CAPITAL MANAGEMENT LTD → | RIA / FO | – | HELSINKI | CRD 162127 |
| CAPMAN INFRA MANAGEMENT OY → | RIA / FO | – | HELSINKI, HELSINKI | CRD 319306 |
| CAPMAN REAL ESTATE LTD → | RIA / FO | – | HELSINKI, HELSINKI | CRD 319305 |
| Capparelli Alejandro C. → | 13F manager | – | – | CIK 0001921905 |
| Capper Joseph H → | 13F manager | – | – | CIK 0001456817 |
| CAPRA VENTURES MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 338657 |
| CAPRI EGM, LLC → | RIA / FO | – | CHICAGO, IL | CRD 304389 |
| CAPRICORN FUND MANAGERS LIMITED → | RIA / FO | – | LONDON | CRD 323709 |
| Capricorn Fund Managers Ltd → | 13F manager | – | – | CIK 1901361 |
| Capricorn Investment Group LLC → | 13F manager | – | – | CIK 1536261 |
| CAPRIOLE INVESTMENTS LIMITED → | RIA / FO | – | ROAD TOWN | CRD 337409 |
| Caprock Group, LLC → | 13F manager | – | – | CIK 1610769 |
| CAPSQUARE ASIA PARTNERS PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 325912 |
| CAPSTONE CAPITAL LLC → | 13F manager | – | – | CIK 1993327 |
| Capstone Capital Management Ltd → | 13F manager | – | – | CIK 2069260 |
| Capstone Financial Advisors, Inc. → | 13F manager | – | – | CIK 1599217 |
| CAPSTONE INVESTMENT ADVISORS, LLC → | 13F manager | – | – | CIK 1426196 |
| Capstone Wealth Management Group LLC → | 13F manager | – | – | CIK 2059649 |
| CAPSTONE WEALTH MANAGEMENT GROUP, LLC → | 13F manager | – | – | CIK 1923052 |
| Capstone Wealth Management, Inc. → | 13F manager | – | – | CIK 2112205 |
| Capstone Wealth Management, LLC → | 13F manager | – | – | CIK 2019411 |
| Caption Management, LLC → | 13F manager | – | – | CIK 1706766 |
| CAPTRUST FINANCIAL ADVISORS → | 13F manager | – | – | CIK 1512024 |
| 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 |
| Capula Management Ltd → | 13F manager | – | – | CIK 1557017 |
| CAPVEST PARTNERS LLP → | RIA / FO | – | LONDON | CRD 161967 |
| CAPVIS AG → | RIA / FO | – | BAAR, ZUG | CRD 310701 |
| CapWealth Advisors, LLC → | 13F manager | – | – | CIK 1531809 |
| CAPYBARA MANAGEMENT, LLC → | RIA / FO | – | PORTLAND, OR | CRD 284209 |
| CARABELA INVESTMENTS LLC → | RIA / FO | – | TOMBALL, TX | CRD 336766 |
| CARACI PHILIP D → | 13F manager | – | – | CIK 0001228461 |
| Carbahal Olsen Financial Services Group, LLC → | 13F manager | – | – | CIK 2052538 |
| 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 |
| Cardano Risk Management B.V. → | 13F manager | – | – | CIK 1619124 |