| PARRISH CAPITAL PARTNERS → | RIA / FO | – | CORAL GABLES, FL | CRD 342217 |
| PART V CAPITAL MANAGEMENT → | RIA / FO | – | – | CRD 315373 |
| PARTECH PARTNERS → | RIA / FO | – | PARIS | CRD 325920 |
| PARTHENON ATHENA ADVISORS LLC → | RIA / FO | – | WEST PALM BEACH, FL | CRD 336505 |
| PARTNERRE CAPITAL MANAGEMENT LTD. → | RIA / FO | – | PEMBROKE | CRD 330433 |
| PARTNERS BAY ASIA LIMITED → | RIA / FO | – | CENTRAL, HONG KONG | CRD 306140 |
| PARTNERS EDGE MANAGEMENT → | RIA / FO | – | PITTSBURGH, PA | CRD 318752 |
| PARTNERS GROUP AG → | RIA / FO | – | BAAR, ZUG | CRD 162791 |
| PARUS FINANCE (UK) LIMITED → | RIA / FO | – | LONDON | CRD 169886 |
| PASCAL CAPITAL INC → | RIA / FO | – | COLORADO SPRINGS, CO | CRD 338565 |
| PATAGONIA RESEARCH → | RIA / FO | – | SAN JUAN, PR | CRD 335981 |
| PATHBREAKER VENTURES II, LLC → | RIA / FO | – | CORTE MADERA, CA | CRD 310746 |
| PATHFINDER PLANNING AND INVESTMENTS → | RIA / FO | – | MISSOULA, MT | CRD 159486 |
| PATHLIGHT MANAGEMENT II, LLC → | RIA / FO | – | – | CRD 327069 |
| PATRIA FINANCE LIMITED → | RIA / FO | – | GEORGE TOWN | CRD 163710 |
| PATRIA INVESTIMENTOS LTDA → | RIA / FO | – | SAO PAULO | CRD 307623 |
| PATRIA INVESTMENTS URUGUAY AGENTE DE VALORES S.A. → | RIA / FO | – | MONTEVIDEO | CRD 323059 |
| PATRIA VBI REAL ESTATE GESTAO DE CARTEIRAS S.A → | RIA / FO | – | SAO PAULO | CRD 163582 |
| PATRIZIA INFRASTRUCTURE → | RIA / FO | – | LONDON | CRD 328337 |
| PATRON CAPITAL ADVISERS LLP → | RIA / FO | – | LONDON | CRD 162739 |
| PATRON MANAGEMENT LLC → | RIA / FO | – | – | CRD 316219 |
| PATTERN VENTURES LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 329084 |
| PAVISE CAPITAL MANAGEMENT LLC → | RIA / FO | – | MAHWAH, NJ | CRD 298486 |
| PAX CAPITAL LIMITED → | RIA / FO | – | ARVADA, CO | CRD 343149 |
| PB INVESTMENT PARTNERS, L.P. → | RIA / FO | – | BURLINGAME, CA | CRD 304731 |
| PC OPPORTUNITY FUND ASSET MGR, LLC → | RIA / FO | – | MIAMI, FL | CRD 326598 |
| PCP GP INC. → | RIA / FO | – | WESTMOUNT, QUEBEC | CRD 314586 |
| PCP MANAGEMENT (DEVELOPING COUNTRIES), LLC → | RIA / FO | – | HAMILTON | CRD 281374 |
| PCP MANAGEMENT (EM SMALL CAP), LLC → | RIA / FO | – | HAMILTON | CRD 281375 |
| PCT CAPITAL LLC → | RIA / FO | – | – | CRD 340701 |
| PEAK XV PARTNERS I LLC → | RIA / FO | – | TRIANON | CRD 163626 |
| PEAKSIDE CAPITAL ADVISORS AG → | RIA / FO | – | ZUG | CRD 161931 |
| PEAKSPAN CAPITAL MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 281148 |
| PEAR TREE PARTNERS, LP → | RIA / FO | – | LINCOLN, MA | CRD 152581 |
| PEAR VENTURES MANAGEMENT, LLC → | RIA / FO | – | MENLO PARK, CA | CRD 170211 |
| PEARL DIVER AQUANAUT GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 341756 |
| PEARL DIVER CLO OPPORTUNITY 2014 GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 301388 |
| PEARL DIVER CLO OPPORTUNITY 2017 GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 301390 |
| PEARL DIVER CLO OPPORTUNITY 2017-A GP LIMITED → | RIA / FO | – | ST PETER PORT | CRD 288552 |
| PEARL DIVER CLO OPPORTUNITY 2018 GP LTD. → | RIA / FO | – | ST PETER PORT | CRD 301391 |
| PEARL DIVER CLO OPPORTUNITY 2018-M GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 301392 |
| PEARL DIVER CLO OPPORTUNITY 2019 GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 301393 |
| PEARL DIVER CLO OPPORTUNITY 2021 GP LIMITED → | RIA / FO | – | ST PETER PORT | CRD 319563 |
| PEARL DIVER CLO OPPORTUNITY EMPIRE GP LTD → | RIA / FO | – | ST. PETER PORT | CRD 313941 |
| PEARL DIVER FLOATING RATE GLOBAL INCOME GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 336065 |
| PEARL DIVER FLOATING RATE INVESTMENT GRADE GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 335813 |
| PEARL DIVER NAUTILUS MASTER GP LTD. → | RIA / FO | – | ST. PETER PORT | CRD 330983 |
| PEARL ENERGY INVESTMENT MANAGEMENT III, LLC → | RIA / FO | – | DALLAS, TX | CRD 323917 |
| PEARL ENERGY INVESTMENT MANAGEMENT IV, LLC → | RIA / FO | – | DALLAS, TX | CRD 335051 |
| PEARL ENERGY INVESTMENT MANAGEMENT, LLC → | RIA / FO | – | DALLAS, TX | CRD 281120 |
| PEARL MANOR CAPITAL PARTNERS → | RIA / FO | – | – | CRD 312486 |
| PEARL MANOR CAPITAL PARTNERS → | RIA / FO | – | – | CRD 317476 |
| PEARS PARTNERSHIP CAPITAL LIMITED → | RIA / FO | – | LONDON | CRD 326759 |
| PEBBLEBED MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 322201 |
| PECOS INVESTORS, L.P. → | RIA / FO | – | DALLAS, TX | CRD 337584 |
| PEGASUS HOLDINGS GROUP, LLC → | RIA / FO | – | OOLTEWAH, TN | CRD 305415 |
| PELHAM CAPITAL LTD → | RIA / FO | – | LONDON | CRD 173584 |
| PELHAM S2K MANAGERS, LLC → | RIA / FO | – | NEW YORK, NY | CRD 282948 |
| PELION VENTURE PARTNERS → | RIA / FO | – | SALT LAKE CITY, UT | CRD 162762 |
| PELOTON CAPITAL MANAGEMENT INC. → | RIA / FO | – | TORONTO, ONTARIO | CRD 323826 |
| PEMBANI REMGRO INFRASTRUCTURE MANAGERS → | RIA / FO | – | JOHANNESBURG | CRD 329652 |
| PEMBERTON ASSET MANAGEMENT S.A. → | RIA / FO | – | LUXEMBOURG | CRD 282865 |
| PENFUND MANAGEMENT LIMITED → | RIA / FO | – | TORONTO | CRD 282893 |
| PENFUND PRIME MANAGEMENT LTD → | RIA / FO | – | TORONTO, ONTARIO | CRD 333096 |
| PENNY JAR CAPITAL, LLC → | RIA / FO | – | PALO ALTO, CA | CRD 317719 |
| PENSION FUND EVALUATIONS, INC. → | RIA / FO | – | CENTEREACH, NY | CRD 10985 |
| PENSTOCK EQUITY MANAGEMENT LLC → | RIA / FO | – | BIRMINGHAM, MI | CRD 340947 |
| PENTA CAPITAL LLP → | RIA / FO | – | GLASGOW | CRD 161412 |
| PENTAGREEN CAPITAL FUND MANAGEMENT PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 333782 |
| PENTSAO ADVISORS LLC → | RIA / FO | – | – | CRD 322298 |
| PEP MANAGEMENT (JERSEY) LIMITED → | RIA / FO | – | ST. HELIER, JERSEY | CRD 160771 |
| PEPIN CAPITAL MANAGEMENT, LLC → | RIA / FO | – | RED BANK, NJ | CRD 307745 |
| PERBAK CAPITAL PARTNERS LLP → | RIA / FO | – | LONDON | CRD 326702 |
| PERCEPTIVE VENTURES MANAGEMENT COMPANY, LLC → | RIA / FO | – | LAGUNA BEACH, CA | CRD 334414 |
| PERENNIAL CAPITAL ADVISORS, LLC → | RIA / FO | – | BOSTON, MA | CRD 156289 |
| PERGA CAPITAL MANAGEMENT, LP → | RIA / FO | – | – | CRD 289520 |
| PERISCOPE CAPITAL → | RIA / FO | – | TORONTO, ONTARIO | CRD 322913 |
| PERIWINKLE TRADING LLC → | RIA / FO | – | WASHINGTON, DC | CRD 298876 |
| PERKEA CAPITAL SECURITIES INC → | RIA / FO | – | GREENWOOD VILLAGE, CO | CRD 339266 |
| PERMANENT CAPITAL VENTURES MANAGEMENT, LLC → | RIA / FO | – | CHICAGO, IL | CRD 331374 |
| PERMIAN CAPITAL LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 341549 |
| PERMIRA CREDIT LIMITED → | RIA / FO | – | LONDON | CRD 162394 |
| PERMIRA INVESTMENT ADVISERS LIMITED → | RIA / FO | – | ST PETER PORT | CRD 292536 |
| PERPETUITY → | RIA / FO | – | – | CRD 105555 |
| PERSEVERANCE ASSET MANAGEMENT INTERNATIONAL (SINGAPORE) PTE. LTD → | RIA / FO | – | SINGAPORE | CRD 322036 |
| PERSISTENT ASSET PARTNERS LIMITED → | RIA / FO | – | HONG KONG | CRD 177528 |
| PERSPECTEC INCORPORATED → | RIA / FO | – | TORONTO, ONTARIO | CRD 287591 |
| PERTENTO PARTNERS LLP → | RIA / FO | – | LONDON | CRD 317498 |
| PETER PESIC & CO. ADVISORS → | RIA / FO | – | – | CRD 166198 |
| PETRUS ADVISERS BRATISLAVA K.S → | RIA / FO | – | BRATISLAVA | CRD 331870 |
| PEVC I GENERAL PARTNER IV, LTD. → | RIA / FO | – | GEORGE TOWN | CRD 332786 |
| PGIM PRIVATE CAPITAL (IRELAND) LIMITED → | RIA / FO | – | LETTERKENNY, CO DONEGAL | CRD 305536 |
| PGIM REAL ESTATE ADVISORS LLC → | RIA / FO | – | NEWARK, NJ | CRD 327165 |
| PGIM SINGAPORE → | RIA / FO | – | SINGAPORE | CRD 313005 |
| PGM INC. → | RIA / FO | – | MONTREAL, QUEBEC | CRD 299309 |
| PHARSALUS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 335251 |
| PHD BIOTECH HOLDINGS, LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 338129 |
| PHENOMENAL VENTURES LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 329336 |
| PHESTOS CAPITAL, LLC → | RIA / FO | – | LAS VEGAS, NV | CRD 338948 |
| PHIFUND MANAGERS, LLC → | RIA / FO | – | – | CRD 321049 |