| NOVA DIGITAL FZE → | RIA / FO | – | DUBAI | CRD 340943 |
| NOVA FINANCIAL ACADEMY LTD → | RIA / FO | – | GREENWOOD VILLAGE, CO | CRD 339834 |
| Nova R Wealth, Inc. → | 13F manager | – | – | CIK 1729457 |
| Nova Wealth Management, Inc. → | 13F manager | – | – | CIK 2051980 |
| Novacap FS I Co-Investment (Lewis & Ellis) II, L.P. → | Issuer | – | – | CIK 2139444 |
| Novacek Jorie L → | 13F manager | – | – | CIK 0001916710 |
| Novak & Powell Financial Services, Inc. → | 13F manager | – | – | CIK 2011548 |
| NovaPoint Capital, LLC → | 13F manager | – | – | CIK 1815025 |
| NOVARE CAPITAL MANAGEMENT LLC → | 13F manager | – | – | CIK 1388409 |
| NOVELLUS VENTURES LS1 GP, LLC → | RIA / FO | – | HOUSTON, TX | CRD 338354 |
| NOVEM GROUP → | 13F manager | – | – | CIK 1926783 |
| NOVEMBER INDIA CO, LLC → | RIA / FO | – | – | CRD 337840 |
| NOVERA VENTURES, LLC → | RIA / FO | – | – | CRD 339206 |
| NOVIRIAN CAPITAL LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 171247 |
| Novo Holdings A/S → | 13F manager | – | – | CIK 1388325 |
| NOVO HOLDINGS US INVESTMENT ADVISOR, INC. → | RIA / FO | – | BOSTON, MA | CRD 334495 |
| NOVO TELLUS CAPITAL PARTNERS PTE. LTD. → | RIA / FO | – | SINGAPORE, SINGAPORE | CRD 311350 |
| NOVUS ADVISORS, LLC → | 13F manager | – | – | CIK 2042508 |
| NPJ ASSET MANAGEMENT LLP → | RIA / FO | – | LONDON | CRD 140986 |
| NPLP MANAGEMENT → | RIA / FO | – | NEW CANAAN, CT | CRD 335167 |
| NRC Private Credit Opportunities IV (Offshore), L.P. → | Issuer | – | – | CIK 2140596 |
| NRC Private Credit Opportunities IV, L.P. → | Issuer | – | – | CIK 2137451 |
| NRC Private Equity Opportunities IV (Offshore), L.P. → | Issuer | – | – | CIK 2140613 |
| NRD CAPITAL MANAGEMENT II, LLC → | RIA / FO | – | ATLANTA, GA | CRD 328502 |
| NRD OF I MANAGEMENT COMPANY, LLC → | RIA / FO | – | ATLANTA, GA | CRD 328368 |
| NRDC EQUITY MANAGEMENT COMPANY LLC → | RIA / FO | – | NEW YORK, NY | CRD 328121 |
| NREP AB → | RIA / FO | – | 111 53 STOCKHOLM | CRD 282262 |
| NRV → | RIA / FO | – | RICHMOND, VA | CRD 289569 |
| NS Partners Ltd → | 13F manager | – | – | CIK 1657111 |
| NSV MANAGEMENT LLC → | RIA / FO | – | GREENWICH, CT | CRD 162486 |
| NSVCA INC. → | RIA / FO | – | – | CRD 336318 |
| NT I a Series of S5V CoInvest I LLC → | Issuer | – | – | CIK 2138189 |
| NTASSET (CAYMAN) LTD → | RIA / FO | – | GRAND CAYMAN | CRD 163936 |
| NTF ASSET MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 298560 |
| NTI MANAGERS, LLC → | RIA / FO | – | MOUNTAIN VIEW, CA | CRD 331574 |
| NTV ASSET MANAGEMENT LLC → | 13F manager | – | – | CIK 1284208 |
| NTV FRONTIER MANAGEMENT → | RIA / FO | – | NAPLES, FL | CRD 329840 |
| NTV PROSPERITY MANAGEMENT → | RIA / FO | – | NAPLES, FL | CRD 329839 |
| NUANCE INVESTMENTS, LLC → | 13F manager | – | – | CIK 1473182 |
| NUCLEAR CAPITAL PARTNERS SPV II LLC → | Issuer | – | – | CIK 2137255 |
| Nucleus Power, Inc. → | Issuer | – | – | CIK 2137266 |
| Nukudo Group Inc. → | Issuer | – | – | CIK 2137550 |
| NUMEN CAPITAL LLP → | RIA / FO | – | LONDON | CRD 166984 |
| Numerai GP LLC → | 13F manager | – | – | CIK 1668527 |
| Nut Tree Capital Management, LP → | 13F manager | – | – | CIK 1661655 |
| NUTS2INVEST.COM, LLC → | RIA / FO | – | – | CRD 164438 |
| NUTSHELL ASSET MANAGEMENT LIMITED → | RIA / FO | – | LONDON | CRD 329065 |
| Nutshell Asset Management Ltd → | 13F manager | – | – | CIK 2021442 |
| NUTT BRIAN H. → | 13F manager | – | – | CIK 0001520961 |
| Nuveen Floating Rate Levered CMBS 1, LP → | Issuer | – | – | CIK 2141673 |
| NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED → | RIA / FO | – | LONDON | CRD 306545 |
| NUVEEN SINGAPORE PRIVATE LIMITED → | RIA / FO | – | SINGAPORE | CRD 338079 |
| Nuveen, LLC → | 13F manager | – | – | CIK 1871926 |
| NUVION CAPITAL INC. → | RIA / FO | – | NEW YORK, NY | CRD 339388 |
| Nuvo I, a series of Capitalize Investments LLC → | Issuer | – | – | CIK 2136433 |
| NV MEDTECH, Inc. → | Issuer | – | – | CIK 2139273 |
| nVerses Capital, LLC → | 13F manager | – | – | CIK 2011399 |
| Nvest Financial, LLC → | 13F manager | – | – | CIK 1915315 |
| Nvest Wealth Strategies, Inc. → | 13F manager | – | – | CIK 2106942 |
| NVIDIA CORP → | 13F manager | – | – | CIK 1045810 |
| NVM PRIVATE EQUITY LLP → | RIA / FO | – | NEWCASTLE UPON TYNE, TYNE & WEAR | CRD 301108 |
| NVNG INVESTMENT ADVISORS, LLC → | RIA / FO | – | MADISON, WI | CRD 307219 |
| NVP Associates, LLC → | 13F manager | – | – | CIK 1545692 |
| NVP CAPITAL MANAGEMENT, L.L.C. → | RIA / FO | – | NEW YORK, NY | CRD 339603 |
| NVP Delta Co-Invest LP → | Issuer | – | – | CIK 2140712 |
| NVWM, LLC → | 13F manager | – | – | CIK 1697274 |
| NWAM LLC → | 13F manager | – | – | CIK 1655006 |
| NWF Advisory Services Inc. → | 13F manager | – | – | CIK 2045735 |
| NWI MANAGEMENT LP → | 13F manager | – | – | CIK 1103887 |
| NWK Group, Inc. → | 13F manager | – | – | CIK 1803054 |
| NWM ADVISORS, LLC → | 13F manager | – | – | CIK 2098824 |
| NXP MANAGEMENT LLC → | RIA / FO | – | – | CRD 321246 |
| NXSTEP INVESTMENT ADVISORS, LP → | RIA / FO | – | AUSTIN, TX | CRD 326574 |
| NxtLevel NIL Inc → | Issuer | – | – | CIK 2142090 |
| NYCA MANAGEMENT LLC → | RIA / FO | – | NEW YORK, NY | CRD 172892 |
| NYDAO LTD. → | RIA / FO | – | NEW YORK, NY | CRD 339330 |
| NYES LEDGE CAPITAL MANAGEMENT, LLC → | RIA / FO | – | BOSTON, MA | CRD 156746 |
| NYHAVN CAPITAL AB → | RIA / FO | – | STOCKHOLM | CRD 313757 |
| NYL INVESTMENTS EUROPE LIMITED → | RIA / FO | – | DUBLIN | CRD 306388 |
| NYL Investors LLC → | 13F manager | – | – | CIK 1606720 |
| NYLIM JACOB BALLAS ASSET MANAGEMENT COMPANY III LLC → | RIA / FO | – | MOKA | CRD 163119 |
| NYVER → | RIA / FO | – | AMSTERDAM | CRD 339569 |
| NYX INVESTMENT MANAGEMENT CORPORATE LIMITED → | RIA / FO | – | – | CRD 331839 |
| NZS Capital, LLC → | 13F manager | – | – | CIK 1816616 |
| O HANLEY RONALD P → | 13F manager | – | – | CIK 0001180495 |
| O Kane Michael T → | 13F manager | – | – | CIK 0001334579 |
| O-AI 3 a Series of FOG Ventures Fund III LLC → | Issuer | – | – | CIK 2137615 |
| O'Brien Greene & Co. Inc → | 13F manager | – | – | CIK 1768635 |
| O'Connor Alternative Investments LLC → | 13F manager | – | – | CIK 2081629 |
| O'Connor Financial Group LLC → | 13F manager | – | – | CIK 1973783 |
| O'Domhnaill Enterprises, Inc. → | 13F manager | – | – | CIK 2020582 |
| O'HEARN STEPHEN T → | 13F manager | – | – | CIK 0001825953 |
| O'Keefe Stevens Advisory, Inc. → | 13F manager | – | – | CIK 1780565 |
| O'LEARY VENTURES MANAGEMENT, L.P. → | RIA / FO | – | MIAMI, FL | CRD 325968 |
| O'Neil Global Advisors, Inc. → | 13F manager | – | – | CIK 1861159 |
| O'Reilly Monica Bernadette → | 13F manager | – | – | CIK 0002123585 |
| O'ROURKE & COMPANY, Inc → | 13F manager | – | – | CIK 1911468 |
| O'SHAUGHNESSY ASSET MANAGEMENT, LLC → | 13F manager | – | – | CIK 1423442 |
| O'Sullivan Sean → | 13F manager | – | – | CIK 0001704680 |
| OAC Stack 2 a Series of CGF2021 LLC → | Issuer | – | – | CIK 2138183 |