| NEEDHAM INVESTMENT MANAGEMENT LLC → | 13F manager | – | – | CIK 1167212 |
| NEEV FINANCE → | RIA / FO | – | FREMONT, CA | CRD 338066 |
| Neighborhood Network Expansion Feeder Fund I LLC → | Issuer | – | – | CIK 2139712 |
| Neighborhood Network Expansion Fund I LP → | Issuer | – | – | CIK 2140448 |
| NEITHERCUT DAVID J → | 13F manager | – | – | CIK 0001219726 |
| Nellore Capital Management LLC → | 13F manager | – | – | CIK 1846677 |
| Nelson Capital Management, LLC → | 13F manager | – | – | CIK 1512611 |
| Nelson William R → | 13F manager | – | – | CIK 0001459625 |
| Nemes Rush Group LLC → | 13F manager | – | – | CIK 1982273 |
| Nemeth Julio N → | 13F manager | – | – | CIK 0001630118 |
| NEO ASSET MANAGEMENT PRIVATE LIMITED - IFSC BRANCH → | RIA / FO | – | GIFT CITY, GANDHINAGAR | CRD 338380 |
| NEO INVESTMENT PARTNERS LLP → | RIA / FO | – | LONDON | CRD 168400 |
| Neo Ivy Capital Management → | 13F manager | – | – | CIK 1727783 |
| NEO VENTURES, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 294621 |
| NEON BRIGHT MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 330002 |
| NEOS Investment Management LLC → | 13F manager | – | – | CIK 2001019 |
| NEOTENY MANAGEMENT, LLC → | RIA / FO | – | WELLESLEY, MA | CRD 298066 |
| NEOTRIBE MANAGEMENT COMPANY, LLC → | RIA / FO | – | MENLO PARK, CA | CRD 288186 |
| NEPC LLC → | 13F manager | – | – | CIK 1424799 |
| Nepsis Inc. → | 13F manager | – | – | CIK 1587643 |
| NERDWALLET ADVISORY → | RIA / FO | – | SCOTTSDALE, AZ | CRD 325767 |
| NerdWallet Wealth Partners, LLC → | 13F manager | – | – | CIK 2079593 |
| NERGES JOSEPH R → | 13F manager | – | – | CIK 0000925974 |
| NERY ASSET MANAGEMENT, LLC → | RIA / FO | – | – | CRD 341394 |
| NESTEGG ADVISORS, INC. → | 13F manager | – | – | CIK 2062716 |
| Net Worth Advisory Group → | 13F manager | – | – | CIK 1791998 |
| NetEase, Inc. → | 13F manager | – | – | CIK 1110646 |
| NETWORK 1 FINANCIAL FUND ADVISORS, LLC → | RIA / FO | – | RED BANK, NJ | CRD 305864 |
| NETWORK CAPITAL → | RIA / FO | – | KALISPELL, MT | CRD 342019 |
| Networth Advisors, LLC → | 13F manager | – | – | CIK 2099019 |
| Netz Select, a series of Netz Capital, LP → | Issuer | – | – | CIK 2141829 |
| NETZ-GAIA PARTNERS ISRAEL LTD → | RIA / FO | – | – | CRD 334029 |
| NEUBERGER BERMAN AIFM LUXEMBOURG SARL → | RIA / FO | – | LUXEMBOURG | CRD 300813 |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED → | RIA / FO | – | DUBLIN | CRD 300727 |
| NEUBERGER BERMAN BD LLC → | RIA / FO | – | NEW YORK, NY | CRD 2908 |
| Neuberger Berman Group LLC → | 13F manager | – | – | CIK 1465109 |
| Neuberger Talon LP → | Issuer | – | – | CIK 2137651 |
| Neumann Advisory Hong Kong Ltd → | 13F manager | – | – | CIK 1727862 |
| Neumann Capital Management, LLC → | 13F manager | – | – | CIK 1631930 |
| NEUMEIER POMA INVESTMENT COUNSEL LLC → | 13F manager | – | – | CIK 1044936 |
| Neural Forge Capital LP → | Issuer | – | – | CIK 2141845 |
| Neuro Group LLC → | Issuer | – | – | CIK 2137418 |
| Neurokinetic Medical Inc. → | Issuer | – | – | CIK 2137879 |
| NEUROPTIMA LLC → | Issuer | – | – | CIK 2137411 |
| Neutheos Capital Fund LP → | Issuer | – | – | CIK 2141735 |
| NEVCAUT VENTURES MANAGEMENT COMPANY, LLC → | RIA / FO | – | – | CRD 314448 |
| NEVILLE RODIE & SHAW INC → | 13F manager | – | – | CIK 71210 |
| NEVO MANAGEMENT LLC → | RIA / FO | – | – | CRD 339040 |
| New Age Alpha Advisors, LLC → | 13F manager | – | – | CIK 1764807 |
| NEW CANAAN FUNDING MEZZANINE LLC → | RIA / FO | – | NEW CANAAN, CT | CRD 164826 |
| New Capital Management LP → | 13F manager | – | – | CIK 1696731 |
| New Circle Capital Solutions, LP → | Issuer | – | – | CIK 2140207 |
| NEW CLIMATE VENTURES MANAGEMENT, LLC → | RIA / FO | – | – | CRD 329735 |
| New Covenant Trust Company, N.A. → | 13F manager | – | – | CIK 2023097 |
| New Dimensions Wealth Management, LLC → | 13F manager | – | – | CIK 2068447 |
| NEW ENGLAND ASSET MANAGEMENT INC → | 13F manager | – | – | CIK 1004244 |
| New England Capital Financial Advisors LLC → | 13F manager | – | – | CIK 1964652 |
| New England Private Wealth Advisors LLC → | 13F manager | – | – | CIK 1582813 |
| New England Professional Planning Group Inc. → | 13F manager | – | – | CIK 1540867 |
| New England Research & Management, Inc. → | 13F manager | – | – | CIK 1596077 |
| NEW ERA CAPITAL GP LTD. → | RIA / FO | – | TEL AVIV-JAFFA | CRD 328475 |
| New Era Ventures ApS → | Issuer | – | – | CIK 2142426 |
| NEW FORM CAPITAL LLC → | RIA / FO | – | MIAMI BEACH, FL | CRD 330188 |
| NEW GROUND VENTURES → | RIA / FO | – | – | CRD 291355 |
| New Hampshire Trust → | 13F manager | – | – | CIK 1961742 |
| New Harbor Financial Group, LLC → | 13F manager | – | – | CIK 1548577 |
| NEW HORIZON MANAGERS LIMITED → | RIA / FO | – | PORT LOUIS | CRD 166493 |
| NEW INDUSTRIAL PARTNERS LLC → | RIA / FO | – | NEW YORK, NY | CRD 342425 |
| New Insight Wealth Advisors → | 13F manager | – | – | CIK 2022328 |
| New Jersey Better Educational Savings Trust → | 13F manager | – | – | CIK 1482010 |
| NEW MARKETS VENTURE PARTNERS → | RIA / FO | – | FULTON, MD | CRD 163508 |
| NEW MEXICO EDUCATIONAL RETIREMENT BOARD → | 13F manager | – | – | CIK 862469 |
| New Mountain Capital, L.L.C. → | 13F manager | – | – | CIK 1407718 |
| New Paradigm Capital Management, LLC → | 13F manager | – | – | CIK 1598130 |
| New Perspectives, Inc → | 13F manager | – | – | CIK 1909565 |
| New Republic Capital, LLC → | 13F manager | – | – | CIK 1989988 |
| NEW SOUTH CAPITAL MANAGEMENT INC → | 13F manager | – | – | CIK 1044797 |
| NEW STACK, LLC → | RIA / FO | – | CHICAGO, IL | CRD 317702 |
| NEW STREET RESEARCH LLP → | RIA / FO | – | LONDON | CRD 173721 |
| NEW SYSTEM VENTURES MANAGEMENT, LP → | RIA / FO | – | – | CRD 335092 |
| NEW TRENDS LTD → | Issuer | – | – | CIK 2139659 |
| NEW VENTURE PARTNERS → | RIA / FO | – | – | CRD 162684 |
| New Vernon Capital Holdings II LLC → | 13F manager | – | – | CIK 1512538 |
| NEW VERNON INVESTMENT MANAGEMENT LLC → | 13F manager | – | – | CIK 1500605 |
| NEW VINTAGE PARTNERS LLC → | RIA / FO | – | NEW YORK, NY | CRD 327559 |
| NEW VOICES ADVISORS, LLC → | RIA / FO | – | ATLANTA, GA | CRD 315832 |
| NEW WAVE WEALTH ADVISORS LLC → | 13F manager | – | – | CIK 2035324 |
| New World Advisors LLC → | 13F manager | – | – | CIK 1767724 |
| NEW YORK CITY INVESTMENT FUND MANAGER, INC. → | RIA / FO | – | NEW YORK, NY | CRD 163343 |
| NEW YORK LIFE INSURANCE CO → | 13F manager | – | – | CIK 71633 |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC → | 13F manager | – | – | CIK 1133639 |
| NEW YORK STATE COMMON RETIREMENT FUND → | 13F manager | – | – | CIK 810265 |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM → | 13F manager | – | – | CIK 314969 |
| New York University → | 13F manager | – | – | CIK 2069154 |
| NEWARK VENTURE PARTNERS → | RIA / FO | – | NEWARK, NJ | CRD 283302 |
| Newberry Edward → | 13F manager | – | – | CIK 0001884781 |
| Newbrook Capital Advisors LP → | 13F manager | – | – | CIK 1389875 |
| Newby Matt → | 13F manager | – | – | CIK 0001921787 |
| NEWCOAST GROUP MANAGEMENT LLC → | RIA / FO | – | IRVINE, CA | CRD 317961 |
| Newcomer Lee Nisley → | 13F manager | – | – | CIK 0001788981 |