Investment Adviser Public Disclosure (IAPD) provides information about current and certain former Investment Adviser Representatives, Investment Adviser firms registered with the SEC and/or state securities regulators, and Exempt Reporting Advisers that file reports with the SEC and/or state securities regulators. IAPD also provides links to FINRA's BrokerCheck system which contains information about Brokerage firms and Registered Representatives of Brokerage firms.
Please see Site Explanation for additional information about what this website displays for investment adviser firms and Investment Adviser Representatives.
Spreadsheet reports containing some, but not all, of the information filed on Form ADV by currently registered or reporting SEC-registered advisers and SEC exempt reporting advisers is available at http://www.sec.gov/foia/docs/invafoia.htm. Additional XML reports may be found under the "Investment Adviser Compilation Reports" menu option as well.
BASIC SEARCH: enter either
- Individual Name or CRD Number
- Firm Name or CRD Number or SEC Number
REFINE YOUR SEARCH: use one or more fields to refine your search
- Zip Code (enter 5 digit U.S. postal code and select radius from drop down)
- Employing Firm Name or CRD Number or SEC Number (applicable only to searches for individuals)
If you are having problems with your search, please refine your search criteria or call 240-386-4848 for technical assistance.