| WATERPOINT LANE MANAGECO, INC. → | RIA / FO | – | – | CRD 327736 |
| WATERSHED COLLECTIVE LLC → | RIA / FO | – | – | CRD 327754 |
| WATERTON COPPER MANAGEMENT, INC. → | RIA / FO | – | TORONTO, ONTARIO | CRD 332363 |
| WATERTON GOLD MANAGEMENT INC. → | RIA / FO | – | TORONTO, ONTARIO | CRD 342482 |
| WATERTOWER VENTURES MANAGEMENT, LLC → | RIA / FO | – | BEVERLY HILLS, CA | CRD 310494 |
| WATERVILLE INVESTMENT PARTNERS, LLC → | RIA / FO | – | NEEDHAM, MA | CRD 314518 |
| WAVE CAPITAL → | RIA / FO | – | SAN FRANCISCO, CA | CRD 299004 |
| WAVE DIGITAL ASSETS INTERNATIONAL LTD. → | RIA / FO | – | MINATO CITY | CRD 335199 |
| WAVE HILL CAPITAL MANAGEMENT LLC → | RIA / FO | – | – | CRD 154807 |
| WAVECREST MANAGEMENT COMPANY, LLC → | RIA / FO | – | BOSTON, MA | CRD 285540 |
| WAVELAND INVESTMENTS, LLC → | RIA / FO | – | – | CRD 169123 |
| WAVEMAKER PARTNERS → | RIA / FO | – | SINGAPORE | CRD 329432 |
| WAVERLEY CAPITAL MANAGEMENT, LLC → | RIA / FO | – | PALO ALTO, CA | CRD 296514 |
| WAVESLICE FUND → | RIA / FO | – | MIAMI, FL | CRD 330187 |
| WAYFINDER VENTURES MANAGEMENT, L.L.C. → | RIA / FO | – | – | CRD 313288 |
| WAYPOINTE LIMITED → | RIA / FO | – | HONG KONG | CRD 265790 |
| WAYS OUT, LLC → | RIA / FO | – | – | CRD 322074 |
| WAYSTONE MANAGEMENT COMPANY (IE) LIMITED → | RIA / FO | – | DUBLN 4 | CRD 173927 |
| WAYSTONE MANAGEMENT COMPANY (LUX) S.A. → | RIA / FO | – | LUXEMBOURG | CRD 281453 |
| WCEP MANAGEMENT LLC → | RIA / FO | – | SAN CARLOS, CA | CRD 316664 |
| WE EDUCATION INVESTMENT MANAGER LLC → | RIA / FO | – | SOUTHERN PINES, NC | CRD 315981 |
| WEALTH MANAGEMENT ALLIANCE PTE LTD → | RIA / FO | – | SINGAPORE | CRD 332710 |
| WEALTH SOLUTIONS USA, LLC → | RIA / FO | – | MADRID | CRD 293264 |
| WEALTHARC FINTECH LTD. → | RIA / FO | – | NEW YORK, NY | CRD 334579 |
| WEALTHINFRA INC → | RIA / FO | – | DENVER, CO | CRD 339358 |
| WEALTHLETE MANAGEMENT, LLC → | RIA / FO | – | – | CRD 318627 |
| WEALTHORAMA INC → | RIA / FO | – | DENVER, CO | CRD 342943 |
| WEALTHRAMP, INC. → | RIA / FO | – | – | CRD 290683 |
| WEATHERBIE ADVISORS LTD. → | RIA / FO | – | DENVER, CO | CRD 340853 |
| WEB SUMMIT VENTURES MANAGEMENT LIMITED → | RIA / FO | – | DUBLIN | CRD 335054 |
| WEB3 UNIVERSITY → | RIA / FO | – | COLORADO SPRINGS, CO | CRD 340059 |
| WEBB INVESTMENT NETWORK MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 311579 |
| WEBBRIDGE GLOBAL FOUNDATION → | RIA / FO | – | DENVER, CO | CRD 340118 |
| WEFUNDER → | RIA / FO | – | SAN FRANCISCO, CA | CRD 167803 |
| WEILLER CAPITAL ADVISORS, LLC → | RIA / FO | – | – | CRD 162097 |
| WEINBERG CAPITAL GROUP, INC. → | RIA / FO | – | PEPPER PIKE, OH | CRD 163661 |
| WEISBURD CAPITAL MANAGEMENT LLC → | RIA / FO | – | NEW YORK, NY | CRD 342535 |
| WEITE INVESTMENT QUANTIFICATIO → | RIA / FO | – | CHESTERFIELD, MO | CRD 342238 |
| WELKIN CAPITAL MANAGEMENT LIMITED → | RIA / FO | – | GRAND CAYMAN | CRD 286114 |
| WELLINGTON HARBOR CAP LTD → | RIA / FO | – | NEWARK, NJ | CRD 337658 |
| WELLINGTON PARTNERS → | RIA / FO | – | MUNICH, BAVARIA | CRD 333839 |
| WELWING CAPITAL GROUP LIMITED → | RIA / FO | – | CENTRAL | CRD 306751 |
| WENDEL NORTH AMERICA, LLC → | RIA / FO | – | NEW YORK, NY | CRD 284733 |
| WERKLUND FAMILY OFFICE INC. → | RIA / FO | – | CALGARY, ALBERTA | CRD 305521 |
| WERRUS ENERGY MANAGEMENT COMPANY, LLC → | RIA / FO | – | HOUSTON, TX | CRD 289561 |
| WEST ACRE CAPITAL, LLC → | RIA / FO | – | – | CRD 331526 |
| WEST BROW CAPITAL MANAGEMENT, LLC → | RIA / FO | – | CHATTANOOGA, TN | CRD 335438 |
| WEST END SPV MANAGER LLC → | RIA / FO | – | – | CRD 340651 |
| WEST FORK CAPITAL ADVISORS LLC → | RIA / FO | – | – | CRD 328340 |
| WEST HALL CAPITAL PARTNERS LLC → | RIA / FO | – | LARKSPUR, CA | CRD 300828 |
| WEST MONROE CAPITAL → | RIA / FO | – | CHICAGO, IL | CRD 317408 |
| WEST MOUNTAIN, LLC → | RIA / FO | – | STUART, FL | CRD 144674 |
| WEST STAR MANAGEMENT LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 339799 |
| WESTBECK CAPITAL (DIFC) LIMITED → | RIA / FO | – | DUBAI | CRD 331253 |
| WESTBOURNE CREDIT MANAGEMENT LIMITED → | RIA / FO | – | MELBOURNE, VICTORIA | CRD 301033 |
| WESTBOURNE INFRASTRUCTURE DEBT GP 2 LIMITED → | RIA / FO | – | GEORGE TOWN, GRAND CAYMAN | CRD 301035 |
| WESTBRIDGE CAPITAL → | RIA / FO | – | CARDIFF | CRD 282790 |
| WESTCLIFF CAPITAL MANAGEMENT LLC → | RIA / FO | – | – | CRD 106676 |
| WESTERN RESEARCH AND MANAGEMENT, L.L.C. → | RIA / FO | – | FORT WORTH, TX | CRD 109509 |
| WESTLAKE BIOPARTNERS, LLC → | RIA / FO | – | WESTLAKE VILLAGE, CA | CRD 299325 |
| WESTLY CAPITAL MANAGEMENT III, L.L.C. → | RIA / FO | – | MENLO PARK, CA | CRD 285571 |
| WESTSUMMIT CAPITAL MANAGEMENT L.P. → | RIA / FO | – | HONG KONG | CRD 163711 |
| WESTSUMMIT CAPITAL MANAGEMENT LLC → | RIA / FO | – | HONG KONG | CRD 326202 |
| WESTWAVE CAPITAL LLC → | RIA / FO | – | REDWOOD CITY, CA | CRD 290174 |
| WESTWOOD CREDIT ASSET MANAGEMENT LP → | RIA / FO | – | – | CRD 334666 |
| WHEELHOUSE 360 ADVISORS LP → | RIA / FO | – | STAMFORD, CT | CRD 319603 |
| WHI COLLECTIVE REAL ESTATE LP → | RIA / FO | – | CHICAGO, IL | CRD 342892 |
| WHISKEY CAPITAL FINANCE CO. II, LLC → | RIA / FO | – | JEFFERSONVILLE, IN | CRD 325144 |
| WHISKEY CAPITAL FINANCE CO., LLC → | RIA / FO | – | JEFFERSONVILLE, IN | CRD 307482 |
| WHITE CEDAR RESEARCH, LLC → | RIA / FO | – | – | CRD 332253 |
| WHITE HAWK WEALTH MANAGEMENT → | RIA / FO | – | BROOMFIELD, CO | CRD 341034 |
| WHITE HIBISCUS CAPITAL LLC → | RIA / FO | – | – | CRD 317079 |
| WHITE MAPLE CAPITAL LLC → | RIA / FO | – | NEW YORK, NY | CRD 324437 |
| WHITE OAK CAPITAL MANAGEMENT CONSULTANTS LLP → | RIA / FO | – | PRABHADEVI, MUMBAI | CRD 301784 |
| WHITE POST INVESTMENTS, LP → | RIA / FO | – | SAN ANTONIO, TX | CRD 318943 |
| WHITECROFT CAPITAL MANAGEMENT → | RIA / FO | – | LONDON | CRD 327965 |
| WHITEOAK → | RIA / FO | – | SYDNEY | CRD 319057 |
| WI HARPER GROUP INC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 161665 |
| WICKED VENTURES, INC. → | RIA / FO | – | – | CRD 327733 |
| WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC → | RIA / FO | – | NORFOLK, VA | CRD 106060 |
| WILBE CAPITAL LLP → | RIA / FO | – | – | CRD 338147 |
| WILD TREE PARTNERS LLC → | RIA / FO | – | – | CRD 329056 |
| WILDCAT VENTURE PARTNERS, LLC → | RIA / FO | – | SAN MATEO, CA | CRD 288146 |
| WILL VENTURES → | RIA / FO | – | BOSTON, MA | CRD 306950 |
| WILLIAM O'NEIL + COMPANY → | RIA / FO | – | LOS ANGELES, CA | CRD 152620 |
| WILLIAM RAVEIS - MORAN WEALTH MANAGEMENT, LLC → | RIA / FO | – | NAPLES, FL | CRD 341425 |
| WILLOW GROWTH PARTNERS MANAGEMENT, LLC → | RIA / FO | – | – | CRD 323423 |
| WILLOW HILL REAL ESTATE PARTNERS LLC → | RIA / FO | – | DALLAS, TX | CRD 335235 |
| WILLOW TREE CREDIT PARTNERS SBIC MANAGEMENT LP → | RIA / FO | – | NEW YORK, NY | CRD 333473 |
| WILLOWTREE VENTURES MANAGEMENT, LLC → | RIA / FO | – | – | CRD 336404 |
| WILMAR LLC → | RIA / FO | – | – | CRD 323728 |
| WILSHIRE FINANCE PARTNERS, INC. → | RIA / FO | – | IRVINE, CA | CRD 169269 |
| WILSHIRE LANE CAPITAL → | RIA / FO | – | LOS ANGELES, CA | CRD 318873 |
| WILSHIRE LANE PARTNERS LLC → | RIA / FO | – | LOS ANGELES, CA | CRD 315143 |
| WINCREST CAPITAL LTD. → | RIA / FO | – | TORTOLA | CRD 285460 |
| WINDHAM CAPITAL PARTNERS LLC → | RIA / FO | – | NEW YORK, NY | CRD 299860 |
| WINDMILL CAPITAL LLC → | RIA / FO | – | NEW YORK, NY | CRD 164063 |
| WINDMUEHLE, LLC → | RIA / FO | – | AUSTIN, TX | CRD 295685 |
| WINDSAIL CAPITAL GROUP, LLC → | RIA / FO | – | BOSTON, MA | CRD 165352 |
| WINDSHEAR MANAGEMENT INC. → | RIA / FO | – | NEW YORK, NY | CRD 339256 |