IAPD - Investment Adviser Search

Investment Adviser Search


Investment Adviser Public Disclosure (IAPD) provides information about current and former Investment Adviser Representatives (IARs), 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. In addition to providing information about IARs currently registered with a state securities regulator, IAPD also includes individuals who: have been registered with a state securities regulator within the last ten years, or (1) have ever been the subject of a final regulatory event, (2) convicted of or pled guilty or no contest to a crime, (3) have been the subject of a civil injunction or civil court finding involving a violation of any investment-related statute(s) or regulation(s), or (4) have been a respondent or defendant or the subject of an arbitration or civil litigation which resulted in an award, decision, or judgment for a customer that has been reported on a registration form. To search for an IAR or a firm, select one of the radio buttons below. If you are having problems with your search, please refine your search criteria or call 240-386-4848 for technical assistance.

Special Note: Through March 30, 2012, SEC-registered investment advisers will transition to a revised Form ADV that was implemented in November 2011. State-registered advisers will also be transitioning to the revised Form ADV in 2012. As a result of the changes to Form ADV and the transition periods for advisers to file the revised Form ADV, the form displayed in IAPD may not include answers to all of the questions of the revised Form ADV. A Form ADV containing answers to all of the revised questions should be available when the transition periods end.


To begin your search, choose:
	Investment Adviser Representative (IAR) Investment Adviser Firm