| M&G ALTERNATIVES INVESTMENT MANAGEMENT LIMITED → | RIA / FO | – | LONDON | CRD 283173 |
| M&G INVESTMENT MANAGEMENT LTD. → | RIA / FO | – | LONDON, ENGLAND | CRD 114527 |
| M&G LUXEMBOURG S.A. → | RIA / FO | – | LUXEMBOURG | CRD 342127 |
| M1 CAPITAL, LLC → | RIA / FO | – | GLEN ELLYN, IL | CRD 318364 |
| M13 HOLDINGS COMPANY, LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 305020 |
| M13 VENTURES MANAGEMENT, LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 301245 |
| M25 → | RIA / FO | – | CHICAGO, IL | CRD 304760 |
| M28 CAPITAL MANAGEMENT LP → | RIA / FO | – | STAMFORD, CT | CRD 307490 |
| M31 CAPITAL MANAGEMENT, LLC → | RIA / FO | – | SAN JUAN, PR | CRD 321850 |
| M33 GROWTH LLC → | RIA / FO | – | BOSTON, MA | CRD 290447 |
| M7 REAL ESTATE LTD → | RIA / FO | – | LONDON | CRD 282250 |
| MA INVESTMENT MANAGEMENT PTY LTD → | RIA / FO | – | SYDNEY, NEW SOUTH WALES | CRD 328316 |
| MAAM GP PTY LTD → | RIA / FO | – | SYDNEY, NEW SOUTH WALES | CRD 328215 |
| MAC VENTURE CAPITAL → | RIA / FO | – | LOS ANGELES, CA | CRD 308907 |
| MACHINA CAPITAL → | RIA / FO | – | PARIS | CRD 289445 |
| MACNICOL & ASSOCIATES ASSET MANAGEMENT US LLC → | RIA / FO | – | TORONTO, ONTARIO | CRD 313998 |
| MACQUARIE AGRICULTURAL FUNDS MANAGEMENT LIMITED → | RIA / FO | – | SYDNEY NSW | CRD 163409 |
| MACQUARIE AUSTRALIAN INFRASTRUCTURE MANAGEMENT 1 LIMITED → | RIA / FO | – | SYDNEY, NSW | CRD 310239 |
| MACQUARIE AUSTRALIAN INFRASTRUCTURE MANAGEMENT 2 LIMITED → | RIA / FO | – | SYDNEY, NSW | CRD 310491 |
| MACQUARIE INFRASTRUCTURE AND REAL ASSETS (EUROPE) LIMITED → | RIA / FO | – | LONDON | CRD 163161 |
| MACQUARIE INFRASTRUCTURE MANAGEMENT (ASIA) PTY LIMITED → | RIA / FO | – | SINGAPORE | CRD 173945 |
| MACQUARIE INNOVATIVE VISION FUND MANAGER LIMITED → | RIA / FO | – | CENTRAL | CRD 335392 |
| MACRO ADVISORS, LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 284631 |
| MADDIX CAPITAL LLC → | RIA / FO | – | MURRAY, UT | CRD 324648 |
| MADERA TECHNOLOGY ADVISORS, LLC → | RIA / FO | – | DOVER, DE | CRD 312666 |
| MADISON ADVISORY GROUP, INC. → | RIA / FO | – | CHICAGO, IL | CRD 163872 |
| MADISON BAY CAPITAL MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 310579 |
| MADISON INDIA CAPITAL MANAGEMENT LLC → | RIA / FO | – | TRIANON | CRD 286310 |
| MADISON INDIA CAPITAL MANAGEMENT PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 331260 |
| MADISON-INDIA MANAGEMENT ADVISORS PRIVATE LIMITED → | RIA / FO | – | NEW DELHI | CRD 286304 |
| MADRONA VENTURE GROUP, LLC → | RIA / FO | – | SEATTLE, WA | CRD 160390 |
| MAEWYN CAPITAL PARTNERS LLC → | RIA / FO | – | DALLAS, TX | CRD 334907 |
| MAGCP-RFM INVESTMENTS MANAGEMENT, LLC → | RIA / FO | – | DALLAS, TX | CRD 333827 |
| MAGIC STONE ALTERNATIVE PRIVATE EQUITY FUND GP, LTD. → | RIA / FO | – | GRAND CAYMAN | CRD 335450 |
| MAGNETIC SUPER ANGEL FUND MANAGEMENT LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 301792 |
| MAGNIFY VENTURES, LLC → | RIA / FO | – | – | CRD 311593 |
| MAGNUM OPUS FUND → | RIA / FO | – | – | CRD 338195 |
| MAGNUM TECH PARTNERS, LLC → | RIA / FO | – | LOS ALTOS, CA | CRD 316358 |
| MAIDEN LANE VENTURES II , LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 288633 |
| MAIDEN LANE VENTURES, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 171759 |
| MAIN CAPITAL PARTNERS B.V. → | RIA / FO | – | THE HAGUE | CRD 291388 |
| MAIORA ASSET MANAGEMENT PTE. LTD. → | RIA / FO | – | THE CENTRAL | CRD 290126 |
| MAKERS INVESTMENT ADVISOR II SG PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 321127 |
| MAKERS INVESTMENT ADVISOR II US INC. → | RIA / FO | – | WOODLAND HILLS, CA | CRD 313324 |
| MAKRANA CAPITAL MANAGEMENT → | RIA / FO | – | SINGAPORE | CRD 291547 |
| MAMBA GROWTH MANAGEMENT COMPANY LLC → | RIA / FO | – | OLD GREENWICH, CT | CRD 333907 |
| MANA VENTURES → | RIA / FO | – | – | CRD 311231 |
| MANALAPAN ORACLE CAPITAL MANAGEMENT LLC → | RIA / FO | – | RED BANK, NJ | CRD 311845 |
| MANCHESTER GLOBAL MANAGEMENT (UK) LIMITED → | RIA / FO | – | LONDON | CRD 333062 |
| MANCHESTER MANAGEMENT PR, LLC → | RIA / FO | – | SAN JUAN, PR | CRD 286047 |
| MANCHESTERSTORY FUND MANAGEMENT, LP → | RIA / FO | – | WEST DES MOINES, IA | CRD 298873 |
| MANDALA CAPITAL LIMITED → | RIA / FO | – | TRIANON | CRD 281444 |
| MANGO CAPITAL MANAGEMENT LLC → | RIA / FO | – | LOS ALTOS, CA | CRD 301221 |
| MANGROVE CAPITAL PARTNERS S.A. → | RIA / FO | – | LUXEMBOURG | CRD 163225 |
| MANHATTAN ADVISORY SERVICES, INC → | RIA / FO | – | – | CRD 151868 |
| MANIFEST → | RIA / FO | – | CHICAGO, IL | CRD 307739 |
| MANIFEST ENERGY TRANSITION COMPANY, LLC → | RIA / FO | – | SAN ANTONIO, TX | CRD 339102 |
| MANIV → | RIA / FO | – | TEL-AVIV | CRD 287696 |
| MANNING, SAM B. → | RIA / FO | – | DALLAS, TX | CRD 285729 |
| MANOR BAY CAPITAL, LLC → | RIA / FO | – | NEW YORK, NY | CRD 342197 |
| MANRESA MANAGEMENT COMPANY LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 319666 |
| MANSFORD LLP → | RIA / FO | – | LONDON | CRD 165552 |
| MANTIS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | SANTA MONICA, CA | CRD 311057 |
| MANTRA INVESTMENT PARTNERS SARL → | RIA / FO | – | PARIS | CRD 269837 |
| MANVEEN ASSET MANAGEMENT, LLC → | RIA / FO | – | – | CRD 314759 |
| MAOYUAN CAPITAL (HK) LIMITED → | RIA / FO | – | HONG KONG | CRD 332684 |
| MAPL STRUCTURED CAPITAL LLC → | RIA / FO | – | GREENWICH, CT | CRD 328237 |
| MAPLE CAPITAL MANAGEMENT LTD. → | RIA / FO | – | – | CRD 336857 |
| MAPLE VC MANAGEMENT LLC → | RIA / FO | – | MENLO PARK, CA | CRD 334787 |
| MAPLECAP PARTNERS AG → | RIA / FO | – | PFAEFFIKON | CRD 339319 |
| MAR VENTURES INVESTIMENTOS LTDA → | RIA / FO | – | SAO PAULO | CRD 305846 |
| MARA RIVER CAPITAL MANAGEMENT, LP → | RIA / FO | – | CORAL GABLES, FL | CRD 304145 |
| MARATHON MANAGEMENT PARTNERS LLC → | RIA / FO | – | – | CRD 332549 |
| MARATHON MICRO PARTNERS, LLC → | RIA / FO | – | HUNT VALLEY, MD | CRD 175069 |
| MARATHON RESOURCE ADVISORS LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 309374 |
| MARAUDER CAPITAL LLC → | RIA / FO | – | FORT WORTH, TX | CRD 330926 |
| MARCH ALTUS CAPITAL MANAGEMENT LP → | RIA / FO | – | GREENWICH, CT | CRD 165827 |
| MARCH CAPITAL → | RIA / FO | – | SANTA MONICA, CA | CRD 174123 |
| MARCH PARTNERS LLC → | RIA / FO | – | DAVIS, CA | CRD 307923 |
| MARCHES PRIVES GESTION DE PLACEMENTS MANUVIE (CANADA) CORP. → | RIA / FO | – | TORONTO, ONTARIO | CRD 306318 |
| MARCHO PARTNERS LLP → | RIA / FO | – | LONDON | CRD 310726 |
| MARCO POLO PURE ASSET MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 164229 |
| MARIEMONT CAPITAL LLC → | RIA / FO | – | CINCINNATI, OH | CRD 282000 |
| MARIGOLD PARK CAPITAL ADVISERS PRIVATE LIMITED → | RIA / FO | – | MUMBAI | CRD 321613 |
| MARILLA INVESTMENT MANAGEMENT LTD. → | RIA / FO | – | HAMILTON | CRD 329921 |
| MARINER WEALTH → | RIA / FO | – | OVERLAND PARK, KS | CRD 289886 |
| MARK CAPITAL MANAGEMENT LP → | RIA / FO | – | ST PETER PORT | CRD 326227 |
| MARK I CAPITAL MANAGEMENT LP → | RIA / FO | – | ST PETER PORT | CRD 288281 |
| MARKD VC LLC → | RIA / FO | – | BOULDER, CO | CRD 321666 |
| MARKER FINANCIAL ADVISORS LLC → | RIA / FO | – | PORT WASHINGTON, NY | CRD 165834 |
| MARKETX SECURITIES, LLC → | RIA / FO | – | – | CRD 284476 |
| MARKLEY CAPITAL MANAGEMENT LP → | RIA / FO | – | MIAMI BEACH, FL | CRD 311945 |
| MARKSON MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 314828 |
| MARLIN SAMS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 162152 |
| MARLOWE PARTNERS LP → | RIA / FO | – | NEW YORK, NY | CRD 170091 |
| MARSHALL WACE ASIA LIMITED → | RIA / FO | – | HONG KONG | CRD 157501 |
| MARSHALL WACE LLP → | RIA / FO | – | LONDON | CRD 160885 |
| MARSHALL WACE MIDDLE EAST → | RIA / FO | – | ABU DHABI | CRD 334846 |
| MARSHALL WACE SINGAPORE PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 322296 |
| MARUNOUCHI INNOVATION PARTNERS CO., LTD. → | RIA / FO | – | TOKYO | CRD 340091 |