| CASTLE CREEK LAUNCHPAD → | RIA / FO | – | OAKLAND, CA | CRD 321741 |
| Castle Hook Partners LP → | 13F manager | – | – | CIK 1687241 |
| CASTLE ISLAND VENTURES → | RIA / FO | – | BOSTON, MA | CRD 298999 |
| CASTLE LIGHT PARTNERS LP → | RIA / FO | – | – | CRD 301246 |
| Castle Rock Energy Fund I, LP → | Issuer | – | – | CIK 2138255 |
| Castle Rock Wealth Management, LLC → | 13F manager | – | – | CIK 1727605 |
| CASTLE WEALTH MANAGEMENT LLC → | 13F manager | – | – | CIK 1936420 |
| CASTLEARK MANAGEMENT LLC → | 13F manager | – | – | CIK 1106832 |
| CASTLEBAR CAPITAL LLP → | RIA / FO | – | LONDON | CRD 327829 |
| Castlefield Investment Partners LLP → | 13F manager | – | – | CIK 2109835 |
| CASTLEFORGE → | RIA / FO | – | LONDON | CRD 301341 |
| CASTLEKEEP INVESTMENT ADVISORS LLC → | 13F manager | – | – | CIK 1404780 |
| CastleKnight Management LP → | 13F manager | – | – | CIK 1835751 |
| Castleview Partners, LLC → | 13F manager | – | – | CIK 1737088 |
| Castro-Caratini Fernando → | 13F manager | – | – | CIK 0001917872 |
| CAT ROCK CAPITAL MANAGEMENT LP → | 13F manager | – | – | CIK 1654648 |
| Catalina Capital Group, LLC → | 13F manager | – | – | CIK 2018090 |
| Catalio Access Fund XI, LLC → | Issuer | – | – | CIK 2139233 |
| Catalio Capital Management, LP → | 13F manager | – | – | CIK 1958125 |
| Catalio Inflection Fund III, LLC → | Issuer | – | – | CIK 2138892 |
| Catalys Pacific, LLC → | 13F manager | – | – | CIK 2011385 |
| CATALYS PACIFIC, LLC → | RIA / FO | – | TOKYO | CRD 301379 |
| Catalyst Capital Advisors LLC → | 13F manager | – | – | CIK 1549275 |
| CATALYST CAPITAL MANAGEMENT LTD → | RIA / FO | – | LONDON | CRD 163348 |
| CATALYST FINANCIAL PARTNERS LLC → | 13F manager | – | – | CIK 1927537 |
| Catalyst Funds Management Pty Ltd → | 13F manager | – | – | CIK 1896150 |
| CATALYST FUNDS MANAGEMENT PTY LTD → | RIA / FO | – | SYDNEY NSW | CRD 316797 |
| Catalyst Investment Management LLC → | 13F manager | – | – | CIK 2055584 |
| CATALYST INVESTORS, L.L.C. → | RIA / FO | – | NEW YORK, NY | CRD 156947 |
| CATALYST PRIVATE WEALTH, LLC → | 13F manager | – | – | CIK 1831193 |
| CATARIA CAPITAL MANAGEMENT LP → | RIA / FO | – | BOSTON, MA | CRD 299042 |
| Catawba River Capital → | 13F manager | – | – | CIK 1843303 |
| CATCH POINT RIGHTS PARTNERS LP → | RIA / FO | – | BOSTON, MA | CRD 310136 |
| CATEGORY VENTURES MANAGEMENT COMPANY, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 334355 |
| Catherine Avery Investment Management LLC → | 13F manager | – | – | CIK 2103454 |
| CATHY PARETO & ASSOCIATES, INC → | 13F manager | – | – | CIK 2045974 |
| Catlett Janet Anne → | 13F manager | – | – | CIK 0001747846 |
| CATO PARTNERS MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 161201 |
| Catterton Management Company, L.L.C. → | 13F manager | – | – | CIK 1560123 |
| Cauble & Harre Wealth Management, Inc. → | 13F manager | – | – | CIK 2064807 |
| CAUSATION VENTURES, L.L.C. → | RIA / FO | – | – | CRD 325506 |
| CAUSEWAY CAPITAL MANAGEMENT LLC → | 13F manager | – | – | CIK 1165797 |
| CAUSEWAY MANAGEMENT II, LLC → | RIA / FO | – | CAMBRIDGE, MA | CRD 301351 |
| CAUSEWAY MEDIA PARTNERS → | RIA / FO | – | CAMBRIDGE, MA | CRD 167916 |
| CAUSEY J P JR → | 13F manager | – | – | CIK 0001182177 |
| Causey Wealth LLC → | 13F manager | – | – | CIK 2132639 |
| Cavalier Investments, LLC → | 13F manager | – | – | CIK 1655543 |
| 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 |
| CAXTON ASSOCIATES LLP → | 13F manager | – | – | CIK 2051323 |
| CAXTON CORP → | 13F manager | – | – | CIK 1388551 |
| CAYGAN CAPITAL PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 171482 |
| CAZ INVESTMENTS LP → | 13F manager | – | – | CIK 1159363 |
| CB-Emmanuel Realty, LLC → | Issuer | – | – | CIK 2136829 |
| CBBI0526 a Series of CGF2021 LLC → | Issuer | – | – | CIK 2138708 |
| CBIZ Investment Advisory Services, LLC → | 13F manager | – | – | CIK 1795934 |
| CBM Financial, LLC → | 13F manager | – | – | CIK 2055702 |
| 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 LISTED REAL ASSETS LLC → | 13F manager | – | – | CIK 1033984 |
| 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 Envision SPV LLC → | Issuer | – | – | CIK 2139673 |
| CC PP II a Series of CGF2021 LLC → | Issuer | – | – | CIK 2138739 |
| CC REAL ESTATE ADVISORY LIMITED → | RIA / FO | – | HONG KONG | CRD 162112 |
| CCAVENTUS GLOBAL CREDIT MANAGEMENT LLC → | RIA / FO | – | NEW YORK, NY | CRD 342500 |
| CCG WEALTH MANAGEMENT, LLC → | 13F manager | – | – | CIK 1771169 |
| CCM CORE IM LLC → | RIA / FO | – | MIAMI BEACH, FL | CRD 340365 |
| CCM INVESTMENT ADVISERS LLC → | 13F manager | – | – | CIK 931097 |
| 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 |
| CCV01PP a Series of CGF2021 LLC → | Issuer | – | – | CIK 2137184 |
| CD CAPITAL ASSET MANAGEMENT LIMITED → | RIA / FO | – | LONDON, ENGLAND | CRD 290160 |
| CDAM (UK) Ltd → | 13F manager | – | – | CIK 1719387 |
| CDC Financial, Inc. → | 13F manager | – | – | CIK 2077836 |
| 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 |
| CDKV HOLDINGS LLC → | 13F manager | – | – | CIK 2109928 |
| CDM FINANCIAL COUNSELING SERVICES, INC. → | 13F manager | – | – | CIK 2107537 |
| CDPQ GLOBAL INFRASTRUCTURE INC. → | RIA / FO | – | MONTREAL, QUEBEC | CRD 338423 |
| CEDAR CAPITAL GROUP LP → | RIA / FO | – | – | CRD 325369 |
| Cedar Mountain Advisors, LLC → | 13F manager | – | – | CIK 1798986 |
| CEDAR PARK CAPITAL MANAGEMENT, L.P. → | RIA / FO | – | NEW YORK, NY | CRD 317713 |
| Cedar Point Capital Partners, LLC → | 13F manager | – | – | CIK 1954337 |
| CEDAR TRACE CAPITAL MANAGEMENT LIMITED → | RIA / FO | – | HAMILTON | CRD 339885 |
| Cedar Wealth Management, LLC → | 13F manager | – | – | CIK 1665642 |
| CEDARGOLD CONSULTING INC. → | RIA / FO | – | – | CRD 286326 |
| Cedarwood Wealth LLC → | 13F manager | – | – | CIK 2114448 |
| Cederberg Capital Ltd → | 13F manager | – | – | CIK 1861244 |