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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Abraham & Co., Inc. 3.0 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Archer Capital Growth Funds Pty Limited Sydney AU 0.0 
Archer Capital Pty Limited Sydney, Nsw AU 0.0 
Arlington Securities 0.0 
Asia Pacific Financial Management Group, Inc. Hagatna GU 103.8 
Atb Securities Inc. Calgary CA 0.0 
Atlantic Equities LLP London UK 0.0 
Baker & Eastlack Capital Management, LLC 0.0 
Barings Australia Pty Limited Sydney AU 0.0 
Bermuda Investment Advisory Service Limited Hamilton BM 192.4 
Bernstein, Robert Jay 0.0 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Bosera Asset Management International Co., Limited Hong Kong HK 3164.0 
Bozarth Wealth Management 10.0 
Btg Pactual Europe LLP London UK 0.0 
Canaccord Genuity Wealth Management Vancouver, Bc CA 0.0 
Cape Fear Securities, Inc. 0.0 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Church Capital, LLC 0.0 
Copper Street Capital LLP Maidenhead, Berkshire UK 0.0 
Credit Suisse Insurance Linked Strategies Limited Zurich CZ 0.0 
East Capital AB Stockholm SE 0.0 
Eaton Vance Management International Limited London UK 8003.0 
Efg - Hermes Uae Limited Dubai UAE 0.0 
Eqt Partners Asia Limited Hong Kong HK 0.0 
Europa Investment Bank Inc. Port Of Spain TT 0.0 
Fiduciary Standard, LLC 13.0 
Fondsmaeglerselskabet Maj Invest A/s Copenhagen K DN 9619.9 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
Franklin Templeton Investment Management Limited London UK 38725.5 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Goodhart Partners LLP London UK 797.6 
Gravitas Wealth Advisors, LLC Toronto, Ontario CA 0.2 
Innovationskapital /innkap Gothenburg SE 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Integrity Capital Management 0.0 
Intellivest Securities, Inc. 0.0 
Investcorp Securities Limited London, England UK 0.0 
J.v. Delaney & Associates 0.0 
Jacques Advisors, LLC 21.4 
James Hambro & Partners LLP London UK 3053.7 
Janus Capital Singapore Pte. Limited Singapore SG 316.6 
John Navin Navidomskis Iv 2.9 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Kitsune Advisors 0.0 
Klein Asset Management LLC 11.7 
Kotak Mahindra International Limited Port Louis MU 0.0 
Kotak Mahindra uk Limited London UK 2443.8 
Kun-lun DEVE Corporation 0.2 
Littlejohn Financial Service, LLC 15.0 
Lloyds Bank PLC London UK 0.0 
Lombard Odier Transatlantic Limited Montreal CA 477.5 
Long View Financial Service, Inc 29.6 
Mackenzie Investments Toronto, Ontario CA 48573.9 
Macquarie Agricultural Funds Management Limited Sydney Nsw AU 0.0 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Marketx Securities, LLC 0.0 
Mb & Associates 1.2 
Mercadien Asset Management, LLC Hamilton NJ BM 186.0 
Mha Financial Corporation 23.0 
Midkiff & Stone Capital Group, Inc. 7.3 
N M Rothschild & Sons Limited London UK 0.0 
Nikko Asset Management Co Limited Tokyo JP 147963.8 
Old Greenwich Partners, LLC 0.0 
Oppenheim & Co. Limited St. Peter Port GG 0.0 
Orbis Investment Management Limited Hamilton BM 0.0 
Pag Grand Cayman CY 0.0 
Palmetto Advisory 0.0 
Pgim Limited London UK 31293.1 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Pleso Capital Group, Inc. 0.0 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Potomac Investment Company 43.2 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Putnam Investments Limited London UK 5853.9 
Raymond James usa Limited Vancouver CA 127.5 
Rio Bravo Investimentos Dtvm LTDA. So Paulo BR 0.0 
Simmons Private Equity Aberdeen UK 0.0 
Sovereign Legacy, Inc. 23.4 
Sparx Asset Management Co., Limited. Tokyo JP 5963.3 
Studness Research, Inc. 40.0 
Supreme Alliance LLC 0.7 
Templeton Asset Management Limited. Singapore SG 29161.0 
Templeton Global Advisors Limited Nassau BS 47893.2 
Trez Capital Fund Management LP Vancouver, Bc CA 0.0 
Turning Point Analytics, LLC 0.0 
Ubs Swiss Financial Advisers Zurich CZ 4552.5 
United Brokers S.a. (agente De Valores) Montevideo CU 22.2 
Vertex One Asset Management Inc. Vancouver, British Columbia CA 0.0 
Wellington Management Hong Kong Limited Central, Hong Kong HK 7170.7 
Wellington Management International Limited London UK 103506.0 
Wellington Management Japan Pte Limited Tokyo JP 26342.2 
Wellington Management Singapore Pte Limited Singapore SG 14468.2 
West Face Capital Inc. Toronto CA 0.0 
Windham Capital Group, Inc. 0.0 
Windham Financial Service, Inc. 18.9 
What is a broker-dealer?
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.

Broker-Dealer Registration
Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit:

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