Search results
Results From The WOW.Com Content Network
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.
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
You can view an SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered adviser's most recent Form ADV online by clicking on the Investment Adviser Search link on the left navigation panel of this page.
Through IAPD, you can: Search for an investment adviser firm; View the adviser’s current Form ADV filing, including the firm’s current relationship summary; Check the adviser’s registration status; Search for an investment adviser representative; View information on the representative’s professional background and conduct
Through IAPD, you can: Search for an investment adviser firm or individual representative. View the adviser’s current Form ADV filing, including the firm’s current relationship summary. Check the adviser’s or individual representative’s registration status.
Type a financial professional’s name in the box and you will be re-directed to the Investor Adviser Public Disclosure (IAPD) website. There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state (s), and/or with FINRA (the Financial Industry Regulatory Authority).
Welcome to the Investment Adviser Registration Depository (IARD) Homepage with current information about IARD, electronic filing and related information for SEC Registered Investment Advisers and SEC Exempt Reporting Advisers.
Investment Adviser Regulation. Regulation of Investment Advisers: Outline and Staff Views. Information for Newly-Registered Investment Advisers. IARD. Compliance Info. IAPD: Investment Adviser Public Disclosure Website (Background Information)" Investment Adviser Forms.
An investment adviser public disclosure is a report that discloses the history and business practices of an investment advisory firm. This report can provide information to help you make a more informed decision about a company, such as its disciplinary record and financial stability.
The Investment Adviser Public Disclosure (IAPD) website is provided by the SEC to help investors find financial advisors and conduct due diligence on advisors and advisory firms to review disciplinary actions and regulatory filings such as Form ADV.