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Investment Adviser Compilation Reports

Welcome to the Investment Adviser Public Disclosure website.

You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm. Investment advisers file Form ADV to register with the SEC and/or the states. Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must nonetheless complete some of the questions in Form ADV for purposes of reporting to the SEC and/or the states. Form ADV contains information about an investment adviser and its business operations. Additionally, it contains disclosure about certain disciplinary events involving the adviser and its key personnel.

You can also search for an individual investment adviser representative and view that individual's professional background and conduct, including current registrations, employment history, and disclosures about certain disciplinary events involving the individual. The information about investment adviser representatives that appears on this website is collected from individual Investment Adviser Representatives, Investment Adviser firm(s), and/or securities regulator(s) as part of the securities industry's registration and licensing process. Individuals that are Registered Representatives of a Brokerage firm that are listed in FINRA's BrokerCheck system will also appear in search results.

Click "Investment Adviser Search" on the left navigation panel to begin your search.

For a complete compilation of Investment Adviser Firms currently registered with the SEC and state securities regulators, please click on the "Investment Adviser Compilation Reports" link on the left navigation panel.

Are you having technical difficulties using the Investment Adviser Public Disclosure site?

You can call 240-386-4848 for technical assistance.