| NORO-MOSELEY PARTNERS → | RIA / FO | – | ATLANTA, GA | CRD 162877 |
| Norris Alisa C. → | 13F manager | – | – | CIK 0001558864 |
| Norris Financial Group, LLC → | 13F manager | – | – | CIK 2129318 |
| NORRIS PERNE & FRENCH LLP/MI → | 13F manager | – | – | CIK 1092290 |
| North Berkeley Wealth Management, LLC → | 13F manager | – | – | CIK 2062383 |
| NORTH BRIDGE VENTURE MANAGEMENT COMPANY, LLC → | RIA / FO | – | WELLESLEY, MA | CRD 162010 |
| North Capital, Inc. → | 13F manager | – | – | CIK 2065938 |
| North Dakota State Investment Board → | 13F manager | – | – | CIK 2064039 |
| NORTH DALLAS BANK & TRUST CO → | 13F manager | – | – | CIK 2035144 |
| North Forty Two & Co. → | 13F manager | – | – | CIK 2055134 |
| North Ground Capital → | 13F manager | – | – | CIK 2055446 |
| North Growth Management Ltd. → | 13F manager | – | – | CIK 1745796 |
| North Haven Venture Capital Opportunities Fund II LP → | Issuer | – | – | CIK 2137772 |
| NORTH HILL VENTURES → | RIA / FO | – | – | CRD 163098 |
| North Horizon Holdings Inc. → | 13F manager | – | – | CIK 1891936 |
| North of South Capital LLP → | 13F manager | – | – | CIK 2033334 |
| North Peak Capital Management, LLC → | 13F manager | – | – | CIK 1747888 |
| NORTH POINT PORTFOLIO MANAGERS CORP/OH → | 13F manager | – | – | CIK 1105344 |
| North Reef Capital Management LP → | 13F manager | – | – | CIK 1867831 |
| North Ridge Wealth Advisors, Inc. → | 13F manager | – | – | CIK 1974277 |
| NORTH SOUTH VC, LLC → | RIA / FO | – | – | CRD 336273 |
| NORTH STAR ASSET MANAGEMENT INC → | 13F manager | – | – | CIK 1056559 |
| North Star Investment Management Corp. → | 13F manager | – | – | CIK 1342857 |
| NORTH TIDE CAPITAL, LLC → | RIA / FO | – | – | CRD 342349 |
| NORTH WALL CAPITAL MANAGEMENT LTD. → | RIA / FO | – | ST PETER PORT | CRD 305236 |
| NORTH WESTERLY HOLDINGS B.V. → | RIA / FO | – | EDINBURGH | CRD 327812 |
| North40 Sound View Development Fund LLC → | Issuer | – | – | CIK 2138060 |
| NorthAvenue LLC → | 13F manager | – | – | CIK 2123735 |
| NORTHBRIDGE FINANCIAL GROUP, LLC → | 13F manager | – | – | CIK 1968850 |
| Northcape Capital Pty Ltd → | 13F manager | – | – | CIK 1686776 |
| NORTHCAPE WEALTH MANAGEMENT, LLC → | 13F manager | – | – | CIK 1902806 |
| NorthCoast Asset Management LLC → | 13F manager | – | – | CIK 1665198 |
| NorthCrest Asset Manangement, LLC → | 13F manager | – | – | CIK 1893159 |
| NORTHCROSS CAPITAL MANAGEMENT LIMITED → | RIA / FO | – | ST. HELIER | CRD 159723 |
| Northeast Financial Group, Inc. → | 13F manager | – | – | CIK 1965773 |
| NORTHEAST INVESTMENT MANAGEMENT → | 13F manager | – | – | CIK 1082215 |
| NORTHEAST PLANNING ASSOCIATES, INC. / NH / → | 13F manager | – | – | CIK 1914515 |
| NORTHEDGE CAPITAL LLP → | RIA / FO | – | MANCHESTER | CRD 173768 |
| NORTHERN BORDER ADVISORS LLC → | RIA / FO | – | NEW YORK, NY | CRD 333791 |
| NORTHERN BOREALIS LLC → | RIA / FO | – | – | CRD 340911 |
| Northern Capital Management, Inc. → | 13F manager | – | – | CIK 1581794 |
| Northern Financial Advisors Inc → | 13F manager | – | – | CIK 1962457 |
| NORTHERN LIGHT VENTURE CAPITAL → | RIA / FO | – | HONG KONG | CRD 161103 |
| Northern Lights Advisors, Inc. → | 13F manager | – | – | CIK 2127798 |
| Northern Right Capital Management, L.P. → | 13F manager | – | – | CIK 1346543 |
| NORTHERN SHORE CAPITAL LLC → | RIA / FO | – | BLOOMFIELD HILLS, MI | CRD 339563 |
| NORTHERN TRUST CORP → | 13F manager | – | – | CIK 73124 |
| Northern Yard Partners Pets Investments LLC → | Issuer | – | – | CIK 2138929 |
| Northland Capital Management LLC → | 13F manager | – | – | CIK 1693032 |
| NORTHLAND SECURITIES, INC. → | 13F manager | – | – | CIK 1006938 |
| NorthLanding Financial Partners, LLC → | 13F manager | – | – | CIK 1655982 |
| NORTHLEAF CAPITAL PARTNERS → | RIA / FO | – | TORONTO, ONTARIO | CRD 327067 |
| NORTHLIGHT GROUP LLP → | RIA / FO | – | LONDON | CRD 283883 |
| NORTHMONT CAPITAL MANAGEMENT INC. → | RIA / FO | – | – | CRD 161804 |
| NORTHPOINT INVESTMENT MANAGEMENT (IFSC) LLP → | RIA / FO | – | GIFT CITY | CRD 339924 |
| NORTHPOND VENTURES, LLC → | RIA / FO | – | BETHESDA, MD | CRD 297265 |
| NorthRock Partners, LLC → | 13F manager | – | – | CIK 1632097 |
| Northside Capital Management, LLC → | 13F manager | – | – | CIK 1631052 |
| NORTHSTAR ADVISORS PTE LTD → | RIA / FO | – | SINGAPORE | CRD 165852 |
| Northstar Advisory Group, LLC → | 13F manager | – | – | CIK 1816000 |
| NORTHSTAR ASSET MANAGEMENT Co → | 13F manager | – | – | CIK 1132708 |
| NORTHSTAR ASSET MANAGEMENT INC → | 13F manager | – | – | CIK 869304 |
| NorthStar Asset Management LLC /NJ/ → | 13F manager | – | – | CIK 2011587 |
| Northstar Financial Companies, Inc. → | 13F manager | – | – | CIK 2059828 |
| Northstar Group, Inc. → | 13F manager | – | – | CIK 1631408 |
| NORTHSTAR INVESTMENT ADVISORY LLC → | RIA / FO | – | WEST HOLLYWOOD, CA | CRD 315965 |
| Northwest & Ethical Investments L.P. → | 13F manager | – | – | CIK 2033536 |
| Northwest Bancshares, Inc. → | 13F manager | – | – | CIK 1471265 |
| Northwest Financial Advisors → | 13F manager | – | – | CIK 2010635 |
| Northwest Quadrant Wealth Management, LLC → | 13F manager | – | – | CIK 1697767 |
| NORTHWEST VENTURE SERVICES CORPORATION → | RIA / FO | – | – | CRD 160942 |
| Northwest Wealth Advisors, LLC → | 13F manager | – | – | CIK 2094564 |
| NORTHWEST WEALTH MANAGEMENT, LLC → | 13F manager | – | – | CIK 1695344 |
| NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC → | 13F manager | – | – | CIK 1629649 |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC → | RIA / FO | – | MILWAUKEE, WI | CRD 2881 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO → | 13F manager | – | – | CIK 1141802 |
| NORTHWESTERN UNIVERSITY → | 13F manager | – | – | CIK 873687 |
| Northwoods Investments LLC → | 13F manager | – | – | CIK 1846038 |
| NORTHZONE MANAGEMENT GROWTH II LIMITED → | RIA / FO | – | ST. HELIER, CHANNEL ISLANDS | CRD 327713 |
| NORTHZONE MANAGEMENT IX LIMITED → | RIA / FO | – | ST. HELIER, CHANNEL ISLANDS | CRD 327719 |
| NORTHZONE MANAGEMENT X LIMITED → | RIA / FO | – | ST. HELIER, CHANNEL ISLANDS | CRD 327695 |
| NORVESTOR INVESTMENT MANAGEMENT → | RIA / FO | – | LUXEMBOURG | CRD 307639 |
| NORVION CAPITAL LLC → | RIA / FO | – | AURORA, CO | CRD 343150 |
| Norwalk Leslie V → | 13F manager | – | – | CIK 0001533568 |
| Norway Pines Syndicate LLC → | Issuer | – | – | CIK 2136712 |
| Norway Savings Bank → | 13F manager | – | – | CIK 1692227 |
| NORWICH VENTURES → | RIA / FO | – | WALTHAM, MA | CRD 170981 |
| Norwood Investment Partners, LP → | 13F manager | – | – | CIK 1888610 |
| NOSARA CAPITAL MANAGEMENT, LP → | RIA / FO | – | LONDON | CRD 335373 |
| NOT A VENTURE FUND → | RIA / FO | – | – | CRD 318836 |
| NOT BORING CAPITAL, LLC → | RIA / FO | – | – | CRD 315644 |
| Notable Capital Management, L.L.C. → | 13F manager | – | – | CIK 2065606 |
| NOTABLE CAPITAL MANAGEMENT, L.L.C. → | RIA / FO | – | MENLO PARK, CA | CRD 163168 |
| NOTATION CAPITAL MANAGEMENT, LLC → | RIA / FO | – | BROOKLYN, NY | CRD 327638 |
| NOTCH VIEW CAPITAL MANAGEMENT, LLC → | RIA / FO | – | MIAMI, FL | CRD 322002 |
| Note Advisors, LLC → | 13F manager | – | – | CIK 2056243 |
| NOTION CAPITAL → | RIA / FO | – | LONDON | CRD 301084 |
| Notis-McConarty Edward → | 13F manager | – | – | CIK 1592616 |
| NOTTINGHAM ADVISORS, INC. → | 13F manager | – | – | CIK 1093276 |
| NOVA ACADEMY OF FINANCE LTD → | RIA / FO | – | DENVER, CO | CRD 340607 |