Exempt Reporting Adviser
SOZO VENTURES
CRD 288073 · SEC 802-110314
REDWOOD CITY, CA
Source release August 3, 2026 · retrieved August 18, 2026
Firms
Research an investment firm
Search SEC/IARD adviser-firm records by firm name, CRD, SEC number, or location. We organize the official evidence. The consumer decides.
- Sourced firms
- 23,622
- Reported as registered
- 16,783
- Pending / 120-Day
- 235
- Exempt reporting
- 6,604
- Latest sourced release
- August 3, 2026 · retrieved August 18, 2026
2,699 sourced firms · query 288 ms
Reported as registered
SP ASSET MANAGEMENT LLC
CRD 323369 · SEC 801-126698
CUPERTINO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPARKLABS GLOBAL VENTURES MANAGEMENT
CRD 330129 · SEC 802-131647
PALO ALTO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPARKLABS GROUP MANAGEMENT
CRD 330082 · SEC 802-131648
PALO ALTO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPARKLABS MANAGEMENT
CRD 330130 · SEC 802-131645
PALO ALTO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPECTRUM ASSET MANAGEMENT INC
CRD 111007 · SEC 801-30377
NEWPORT BEACH, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPECTRUM FINANCIAL MANAGEMENT
CRD 127746 · SEC 801-62255
SAN RAFAEL, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD 298632 · SEC 801-114024
GRANITE BAY, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPERO MANAGEMENT COMPANY, LLC
CRD 329143 · SEC 802-130134
BURLINGAME, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPIDER CAPITAL
CRD 282546 · SEC 802-107605
SAN FRANCISCO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPIEGELMAN WEALTH MANAGEMENT, INC.
CRD 336637 · SEC 801-133759
WALNUT CREEK, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPINNAKER INVESTMENT GROUP, LLC
CRD 283414 · SEC 801-107671
NEWPORT BEACH, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPOROS CAPITAL PARTNERS
CRD 340965 · SEC 802-136083
MARINA DEL REY, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SPRUCE CAPITAL PARTNERS
CRD 170820 · SEC 802-79482
SOUTH SAN FRANCISCO, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SPYGLASS CAPITAL MANAGEMENT, LLC
CRD 281266 · SEC 801-112070
GREENBRAE, CA
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
SQN INVESTORS LP
CRD 171505 · SEC 802-131509
MENLO PARK, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SQUARE NINE CAPITAL, LP
CRD 336297 · SEC 801-134181
LOS ANGELES, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SR ONE CAPITAL MANAGEMENT, LP
CRD 306361 · SEC 801-119142
REDWOOD CITY, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SSI INVESTMENT MANAGEMENT LLC
CRD 104889 · SEC 801-10544
LOS ANGELES, CA
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
SST BENEFITS CONSULTING
CRD 288129 · SEC 801-110377
ALISO VIEJO, CA
Source release August 3, 2026 · retrieved August 18, 2026