Reported as state-registered
DAO TRADING & ADVISORY INC.
CRD 321953
Principal state not provided in this source record
State registration: CA
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Firms
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Search SEC/IARD adviser-firm records by firm name, CRD, SEC number, or location. We organize the official evidence. The consumer decides.
- Sourced firms
- 31,268
- Reported as registered
- 16,783
- Pending / 120-Day
- 235
- Exempt reporting
- 6,604
- Latest sourced release
- IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
13,271 sourced firms · query 1551 ms
Exempt Reporting Adviser
DAOYI ASSET MANAGEMENT LIMITED
CRD 341482 · SEC 802-135924
HONG KONG
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DAR INVESTMENT MANAGEMENT LLC
CRD 341899 · SEC 802-137001
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DARAJA CAPITAL PARTNERS LP
CRD 326735 · SEC 802-128040
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Reported as registered
DARBY INTERNATIONAL CAPITAL
CRD 310826 · SEC 801-119616
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Reported as state-registered
DARBY WEALTH PLANNING LLC
CRD 300291
Principal state not provided in this source record
State registration: CA
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Reported as state-registered
DARING GREATLY WEALTH
CRD 343678
Principal state not provided in this source record
State registration: AZ
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Reported as state-registered
DARK HORSE LLC
CRD 156501
Principal state not provided in this source record
State registration: TX
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Reported as registered
DARK HORSE ADVISORS LLC
CRD 312741 · SEC 801-136369
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DARK POOL CAPITAL
CRD 339561 · SEC 802-136008
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Reported as state-registered
DARKHORSE ADVISOR
CRD 309558
Principal state not provided in this source record
State registration: CA
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Reported as state-registered
DARRELL CAPITAL MANAGEMENT, LLC
CRD 310324
Principal state not provided in this source record
State registration: CA
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Exempt Reporting Adviser
DARROCK, LLC
CRD 340896 · SEC 802-135758
KADIKOY
Source release August 3, 2026 · retrieved August 18, 2026
Reported as state-registered
DARROW WEALTH GROUP
CRD 339323
Principal state not provided in this source record
State registration: CA
Source release IA_FIRM_STATE_Feed_09_30_2026 · retrieved September 30, 2026
Reported as registered
DARTMOUTH CAPITAL ADVISORS, INC.
CRD 105933 · SEC 801-49300
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DARWIN AND WOLF, LLC
CRD 320640 · SEC 802-126640
Principal state not provided in this source record
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DARWIN CAPITAL PARTNERS, INC.
CRD 341639 · SEC 802-136745
TOKYO
Source release August 3, 2026 · retrieved August 18, 2026
Exempt Reporting Adviser
DARWIN GLOBAL MANAGEMENT, LTD.
CRD 312512 · SEC 802-120364
ST. HELIER, CHANNEL ISLANDS
Source release August 3, 2026 · retrieved August 18, 2026