| Sequoia Financial Advisors, LLC → | 13F manager | – | – | CIK 1599900 |
| SERAPHIM SPACE MANAGER LLP → | RIA / FO | – | LONDON | CRD 330887 |
| Seraphin Luc → | 13F manager | – | – | CIK 0001341984 |
| SERAYA INVESTMENT PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 321098 |
| SERAYA MANAGEMENT PRIVATE LIMITED → | RIA / FO | – | SINGAPORE | CRD 321965 |
| Serengeti Caracal Multi-Series LLC - Series W → | Issuer | – | – | CIK 2140795 |
| SERENITY CAPITAL MANAGEMENT PTE. LTD. → | 13F manager | – | – | CIK 1934957 |
| SERENITY CAPITAL MANAGEMENT PTE. LTD. → | RIA / FO | – | SINGAPORE | CRD 322204 |
| Serenity Investment Advisors → | 13F manager | – | – | CIK 2105389 |
| Serent Capital Associates VI, L.P. → | Issuer | – | – | CIK 2141281 |
| Serent Capital VI, L.P. → | Issuer | – | – | CIK 2141280 |
| Serenus Wealth Advisors, LLC → | 13F manager | – | – | CIK 2053695 |
| SERES CAPITAL LIMITED → | RIA / FO | – | ROAD TOWN, TORTOLA | CRD 325491 |
| Series 5-3, a series of StartEngine Private LLC → | Issuer | – | – | CIK 2137102 |
| Series 75-2, a series of StartEngine Private LLC → | Issuer | – | – | CIK 2136654 |
| Series 76-5, a series of StartEngine Private LLC → | Issuer | – | – | CIK 2137924 |
| Series 76-6, a series of StartEngine Private LLC → | Issuer | – | – | CIK 2138168 |
| Series Flame, a series of TE Holdings I LLC → | Issuer | – | – | CIK 2138878 |
| SERIES X CAPITAL → | RIA / FO | – | SAN FRANCISCO, CA | CRD 335150 |
| Serinity, Inc → | Issuer | – | – | CIK 2141626 |
| Seros Financial, LLC → | 13F manager | – | – | CIK 2039918 |
| Serra Eileen → | 13F manager | – | – | CIK 0001721344 |
| SERRA VENTURES, LLC → | RIA / FO | – | CHAMPAIGN, IL | CRD 301961 |
| Serrano Creek LLC → | Issuer | – | – | CIK 2141745 |
| SERVICE PROVIDER CAPITAL → | RIA / FO | – | VAIL, CO | CRD 174240 |
| Sessa Capital IM, L.P. → | 13F manager | – | – | CIK 1595849 |
| SESTANTE CAPITAL LLC → | RIA / FO | – | NEW YORK, NY | CRD 314470 |
| Setara Financial Corp. → | Issuer | – | – | CIK 2140575 |
| SETC062026 a Series of CGF2021 LLC → | Issuer | – | – | CIK 2140264 |
| SETHI CAPITAL II LLC → | Issuer | – | – | CIK 2138558 |
| SETHIA GROUP - FZCO → | RIA / FO | – | – | CRD 337298 |
| Settian Capital LP → | 13F manager | – | – | CIK 1911113 |
| SETTLE DANA R → | 13F manager | – | – | CIK 0001197109 |
| SEVA GROWTH LP → | RIA / FO | – | BROOKLYN, NY | CRD 328067 |
| Seven Fleet Capital Management LP → | 13F manager | – | – | CIK 2092021 |
| SEVEN GRAND MANAGERS, LLC → | 13F manager | – | – | CIK 1909126 |
| SEVEN HILLS CAPITAL MANAGEMENT, LLC → | RIA / FO | – | NEW YORK, NY | CRD 342528 |
| SEVEN HILLS CAPITAL, LLC → | RIA / FO | – | NASHVILLE, TN | CRD 329293 |
| Seven Hills VE SPV3 a Series of CGF2021 LLC → | Issuer | – | – | CIK 2136234 |
| Seven Hills VE SPV4 a Series of CGF2021 LLC → | Issuer | – | – | CIK 2138114 |
| SEVEN MILE ADVISORY → | 13F manager | – | – | CIK 1987932 |
| SEVEN MILE CAPITAL PARTNERS, LP → | RIA / FO | – | NEW YORK, NY | CRD 162881 |
| SEVEN POINT MANAGEMENT, INC. → | RIA / FO | – | HIALEAH, FL | CRD 172716 |
| Seven Post Investment Office LP → | 13F manager | – | – | CIK 1554308 |
| SEVEN SEAS ADVISORS CO., LTD. → | RIA / FO | – | CHIYODA-KU, TOKYO | CRD 321175 |
| Seven Six Capital Management, LLC → | 13F manager | – | – | CIK 2021188 |
| Seven Springs Sourcing, LLC → | Issuer | – | – | CIK 2139815 |
| Seven Springs Wealth Group, LLC → | 13F manager | – | – | CIK 1803898 |
| SEVEN STARS VENTURES MANAGEMENT, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 336685 |
| SEVEN VOYAGERS MANAGEMENT LTD. → | RIA / FO | – | TAIPEI | CRD 311535 |
| SEVEN2 SAS → | RIA / FO | – | PARIS | CRD 164876 |
| SevenBridge Financial Group, LLC → | 13F manager | – | – | CIK 1673954 |
| SEVENTURE PARTNERS → | RIA / FO | – | PARIS | CRD 299870 |
| SEVENTYSIX CAPITAL → | RIA / FO | – | KING OF PRUSSIA, PA | CRD 336448 |
| Severin Investments, LLC → | 13F manager | – | – | CIK 1763454 |
| Sevilla-Sacasa Frances Aldrich → | 13F manager | – | – | CIK 0001527033 |
| Seyfert Todd William → | 13F manager | – | – | CIK 0002059957 |
| Seyon Industrial Fund II-A, LLC → | Issuer | – | – | CIK 2136419 |
| Seyon Industrial Fund II-Q, LLC → | Issuer | – | – | CIK 2136420 |
| SFAM, LLC → | 13F manager | – | – | CIK 1713286 |
| SFE Investment Counsel → | 13F manager | – | – | CIK 1317784 |
| SFERMION → | RIA / FO | – | CHICAGO, IL | CRD 317207 |
| SFG Wealth Management, LLC. → | 13F manager | – | – | CIK 1908914 |
| SFI Advisors, LLC → | 13F manager | – | – | CIK 1911308 |
| SFM Andover Properties GP Fund I LLC → | Issuer | – | – | CIK 2140508 |
| SFM HOLDING GMBH → | RIA / FO | – | BOULDER, CO | CRD 338942 |
| SFM, LLC → | 13F manager | – | – | CIK 2064225 |
| SFMG, LLC → | 13F manager | – | – | CIK 1512026 |
| SG Americas Securities, LLC → | 13F manager | – | – | CIK 1313360 |
| SG Capital Management LLC → | 13F manager | – | – | CIK 1510099 |
| SG6 26, a Series of A Master Series, LLC → | Issuer | – | – | CIK 2139217 |
| SGA CAPITAL LLC → | RIA / FO | – | NEW YORK, NY | CRD 340789 |
| SGI PARTNERS → | RIA / FO | – | NEW YORK, NY | CRD 324921 |
| SGL Investment Advisors, Inc. → | 13F manager | – | – | CIK 2043186 |
| SGT Capital Co-Invest I SCSp → | Issuer | – | – | CIK 2137767 |
| SH FUND → | RIA / FO | – | – | CRD 325479 |
| Shade Tree Advisors LLC → | 13F manager | – | – | CIK 1804785 |
| SHADOW LAKE PARTNERS, LLC → | RIA / FO | – | TAMPA, FL | CRD 325186 |
| SHADOW VENTURES, LLC → | RIA / FO | – | ATLANTA, GA | CRD 325022 |
| Shaer Hakimi LLC → | Issuer | – | – | CIK 2137467 |
| Shah Amit B. → | 13F manager | – | – | CIK 0001719077 |
| SHAH CAPITAL MANAGEMENT → | 13F manager | – | – | CIK 1383838 |
| Shah Kamlesh → | 13F manager | – | – | CIK 0001794944 |
| Shah Manish H → | 13F manager | – | – | CIK 0001849123 |
| SHAKED CAPITAL ADVISORS, LLC → | RIA / FO | – | MIAMI BEACH, FL | CRD 297030 |
| Shaker Financial Services, LLC → | 13F manager | – | – | CIK 1511794 |
| SHAKER INVESTMENTS LLC/OH → | 13F manager | – | – | CIK 1009005 |
| Shakespeare Wealth Management, LLC → | 13F manager | – | – | CIK 1658509 |
| SHAKTI CAPITAL, LLC → | RIA / FO | – | SAN FRANCISCO, CA | CRD 315201 |
| Shanahan Lauri M → | 13F manager | – | – | CIK 0001325277 |
| SHANDA ASSET MANAGEMENT HOLDINGS Ltd → | 13F manager | – | – | CIK 1622346 |
| SHANGBAY CAPITAL MANAGEMENT COMPANY, LLC → | RIA / FO | – | PALO ALTO, CA | CRD 312767 |
| SHANGHAI CHANG LING CHONG LUAN CONSULTING LIMITED → | RIA / FO | – | SHANGHAI | CRD 308068 |
| SHANGHAI GOKU TECHNOLOGIES LIMITED → | RIA / FO | – | SHANGHAI | CRD 329355 |
| SHANGHAI SHENYI INVESTMENT CO LTD → | RIA / FO | – | SHANGHAI | CRD 288228 |
| SHANI SHAUL → | 13F manager | – | – | CIK 0000939974 |
| Shankar Sailaja → | 13F manager | – | – | CIK 0001948103 |
| ShankerValleau Wealth Advisors, Inc. → | 13F manager | – | – | CIK 1903273 |
| Shannon James Samuel → | 13F manager | – | – | CIK 0001485417 |
| Shannon River Fund Management LLC → | 13F manager | – | – | CIK 1301050 |