| ROCK RIVER CAPITAL PARTNERS, LLC → | RIA / FO | – | MADISON, WI | CRD 306103 |
| Rock Springs Capital Management LP → | 13F manager | – | – | CIK 1595725 |
| Rockbridge Asset Management LLC → | 13F manager | – | – | CIK 2056320 |
| Rockbridge Investment Management, LCC → | 13F manager | – | – | CIK 1821984 |
| Rockefeller Capital Management L.P. → | 13F manager | – | – | CIK 1739439 |
| ROCKEFELLER FOUNDATION IMPACT INVESTMENT MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 304102 |
| Rockefeller Ledgebrook LP → | Issuer | – | – | CIK 2136567 |
| ROCKETSHIP.VC, LLC → | RIA / FO | – | SUNNYVALE, CA | CRD 301994 |
| ROCKFENCE INVESTMENT MANAGEMENT LLC → | RIA / FO | – | BOSTON, MA | CRD 305981 |
| ROCKFORD PARTNERS → | RIA / FO | – | DENVER, CO | CRD 339746 |
| ROCKFORD TOWER ASSET MANAGEMENT, L.L.C. → | RIA / FO | – | NEW YORK, NY | CRD 342499 |
| ROCKHAMPTON MANAGEMENT → | RIA / FO | – | TOKYO | CRD 164505 |
| ROCKHAMPTON MANAGEMENT LIMITED → | RIA / FO | – | HONG KONG | CRD 318923 |
| ROCKIES VENTURE ADVISER, LLC → | RIA / FO | – | DENVER, CO | CRD 284956 |
| Rocking K Technologies, Inc. → | Issuer | – | – | CIK 2139139 |
| Rockingstone Advisors LLC → | 13F manager | – | – | CIK 2027176 |
| ROCKLAND TRUST CO → | 13F manager | – | – | CIK 84616 |
| Rockline Wealth Management, LLC → | 13F manager | – | – | CIK 2005098 |
| ROCKPORT CAPITAL PARTNERS → | RIA / FO | – | – | CRD 159806 |
| Rockport Wealth LLC → | 13F manager | – | – | CIK 2022866 |
| ROCKSTART MANAGEMENT COMPANY, LLC → | RIA / FO | – | – | CRD 329750 |
| Rockwood Wealth Management, LLC → | 13F manager | – | – | CIK 1983670 |
| Rocky Creek Apartments LLC → | Issuer | – | – | CIK 2136220 |
| ROD CAPITAL MANAGEMENT, LLC → | RIA / FO | – | – | CRD 283497 |
| Rodgers & Associates, LTD → | 13F manager | – | – | CIK 1846515 |
| Rodgers Brothers Inc. → | 13F manager | – | – | CIK 1397290 |
| Rodgers Elliott → | 13F manager | – | – | CIK 0001835006 |
| Rodgers Thomas L → | 13F manager | – | – | CIK 0001813684 |
| RODIN JUDITH → | 13F manager | – | – | CIK 0001102075 |
| Rodriguez Javier → | 13F manager | – | – | CIK 0001415548 |
| ROE INVESTMENT MANAGEMENT, LLC → | RIA / FO | – | WESTON, FL | CRD 335038 |
| Roegner Eric V → | 13F manager | – | – | CIK 0001706057 |
| Roehl & Yi Investment Advisors, LLC → | 13F manager | – | – | CIK 2097566 |
| Roers Cross-Market Collective I LLC → | Issuer | – | – | CIK 2139525 |
| Roers Multifamily Income REIT, Inc. → | Issuer | – | – | CIK 2140400 |
| ROFFMAN MILLER ASSOCIATES INC /PA/ → | 13F manager | – | – | CIK 869367 |
| ROGCO, LP → | 13F manager | – | – | CIK 1998892 |
| Roger Wittlin Investment Advisory, LLC → | 13F manager | – | – | CIK 1911328 |
| ROGERS INVESTMENT ADVISORS K.K. → | RIA / FO | – | TOKYO | CRD 162896 |
| ROGERS JOHN W JR → | 13F manager | – | – | CIK 0000938885 |
| ROGERSON CRAIG A → | 13F manager | – | – | CIK 0001236555 |
| ROGUE INVESTMENT MANAGEMENT, LLC → | RIA / FO | – | – | CRD 333265 |
| ROHA GROUP INC. → | RIA / FO | – | NEW YORK, NY | CRD 305119 |
| ROHATI CAPITAL → | RIA / FO | – | – | CRD 335605 |
| Rohati Private Strategies II, L.P. → | Issuer | – | – | CIK 2139501 |
| Rohen Jeremy → | 13F manager | – | – | CIK 0001848173 |
| ROI Financial Advisors, LLC → | 13F manager | – | – | CIK 2011633 |
| Rokos Capital Management LLP → | 13F manager | – | – | CIK 1666335 |
| ROLAND CAPITAL GROUP, LLC → | RIA / FO | – | – | CRD 318563 |
| Rolek Wealth Management LLC → | 13F manager | – | – | CIK 2051339 |
| ROLLINS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | AUSTIN, TX | CRD 167572 |
| Rollins Financial Advisors, LLC → | 13F manager | – | – | CIK 1884018 |
| ROMAN BUTLER FULLERTON & CO → | 13F manager | – | – | CIK 733444 |
| ROMANO BROTHERS AND COMPANY → | 13F manager | – | – | CIK 200648 |
| ROMSPEN INVESTMENT LP → | RIA / FO | – | TORONTO, ONTARIO | CRD 306131 |
| ROMULUS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | BOSTON, MA | CRD 168442 |
| Ron Amichai → | 13F manager | – | – | CIK 0001788389 |
| RONDINE CAPITAL LLP → | RIA / FO | – | LONDON | CRD 290566 |
| RONIT CAPITAL LLP → | RIA / FO | – | LONDON | CRD 168055 |
| ROO CAPITAL MANAGEMENT I, LLC → | RIA / FO | – | COCONUT GROVE, FL | CRD 329892 |
| Roof Eidam Maycock Peralta, LLC → | 13F manager | – | – | CIK 1028874 |
| Roosevelt MSR Opportunity Fund C LP → | Issuer | – | – | CIK 2136111 |
| Rooster Capital Fund, LLC → | Issuer | – | – | CIK 2140619 |
| Root Financial Partners, LLC → | 13F manager | – | – | CIK 1977181 |
| ROOT VENTURES MANAGER, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 175079 |
| Rooted Wealth Advisors, Inc. → | 13F manager | – | – | CIK 1963732 |
| Roq.ad Inc. → | Issuer | – | – | CIK 2142562 |
| Rosalind Advisors, Inc. → | 13F manager | – | – | CIK 1622627 |
| Rose Jeffrey Matthew → | 13F manager | – | – | CIK 0002137123 |
| ROSE STUART A → | 13F manager | – | – | CIK 0000936969 |
| ROSECLIFF NEXT GENERATION LLC - SERIES CBIO ACCESS -1 → | Issuer | – | – | CIK 2138997 |
| ROSECLIFF NEXT GENERATION LLC - SERIES P ACCESS → | Issuer | – | – | CIK 2138595 |
| ROSEMONT EQUITY INVESTMENT FUND GP LLC → | RIA / FO | – | NEW YORK, NY | CRD 327298 |
| ROSEMONT INVESTMENT PARTNERS, LLC → | RIA / FO | – | WEST CONSHOHOCKEN, PA | CRD 290063 |
| ROSEN CHRISTER → | 13F manager | – | – | CIK 0000902453 |
| ROSEN ELAINE → | 13F manager | – | – | CIK 0001248359 |
| Rosenberg Matthew Hamilton → | 13F manager | – | – | CIK 1812103 |
| ROSENBLUM SILVERMAN SUTTON S F INC /CA → | 13F manager | – | – | CIK 918893 |
| Rosenthal {-} Henry Capital Advisors, Inc. → | 13F manager | – | – | CIK 1697539 |
| ROSENTHAL | HENRY CAPITAL ADVISORS, INC. → | RIA / FO | – | MISHAWAKA, IN | CRD 158537 |
| ROSENTHAL AMIR → | 13F manager | – | – | CIK 0001194856 |
| ROSENTHAL ROBERT → | 13F manager | – | – | CIK 0001243729 |
| ROSENWALD LINDSAY A MD → | 13F manager | – | – | CIK 0000941841 |
| Rosenzweig Benjamin L → | 13F manager | – | – | CIK 0001520557 |
| ROSEROCK CAPITAL MANAGEMENT, LP → | RIA / FO | – | BRYAN, TX | CRD 305355 |
| ROSETTA CAPITAL LIMITED → | RIA / FO | – | HADDENHAM | CRD 168176 |
| ROSIER WILLIAM GRADY → | 13F manager | – | – | CIK 0001314252 |
| Ross Cathy D → | 13F manager | – | – | CIK 0001354328 |
| ROSS CREEK CAPITAL MANAGEMENT, LLC → | RIA / FO | – | LARKSPUR, CA | CRD 163820 |
| ROSS LANE DEVELOPMENT LLC - ELBURN SERIES → | Issuer | – | – | CIK 2136268 |
| Ross Susan Williamson → | 13F manager | – | – | CIK 0001681036 |
| ROSS\JOHNSON & Associates LLC → | 13F manager | – | – | CIK 2056532 |
| Rossby Financial, LCC → | 13F manager | – | – | CIK 2056510 |
| ROSSER CAPITAL PARTNERS MANAGEMENT, L.P. → | RIA / FO | – | GREENWICH, CT | CRD 172645 |
| Rosser Tracy L. → | 13F manager | – | – | CIK 0001976226 |
| Rossi Jerome R → | 13F manager | – | – | CIK 0001388727 |
| Rossmore Private Capital → | 13F manager | – | – | CIK 1733082 |
| ROSTEN CAPITAL INVESTMENTS LLC → | RIA / FO | – | LAS VEGAS, NV | CRD 339888 |
| Roth Financial Partners LLC → | 13F manager | – | – | CIK 1840888 |
| Roth Howard Stewart → | 13F manager | – | – | CIK 0001720357 |