Investment Adviser Firm Reports
SEC Investment Advisers
This file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available for download in XML format.
If you are interested in 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 please visit https://www.sec.gov/foia/docs/invafoia.htm.
State Investment Advisers
This file contains information about investment advisers who are registered with States or who are filing reports as Exempt Reporting Advisers with a State and is available for download in XML format.
Investment Adviser Representatives Report
Registered Investment Adviser Representatives
This file contains information about registered investment adviser representatives and is available for download in XML format.
Adviser Compilation Reports
Investment Adviser Firm Reports
The Investment Adviser Compilation Reports data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment
Adviser Registration Depository (IARD) system. This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their
filing obligations under state and federal law with a single electronic filing made over the Internet. Neither the SEC nor the state securities
authorities have approved the information filed on Form ADV, and we cannot guarantee its accuracy.
Investment advisers file Form ADV Part 1 to register with the SEC and /or the states or file certain sections of Form ADV to report as an Exempt Reporting Adviser with the SEC, and must periodically update the information on their forms.
Form ADV contains information about an investment adviser and its business operations. Form ADV also contains disclosure about certain disciplinary events involving the adviser and its personnel.
The data published in the Investment Adviser Information Reports are a subset of the information that is filed on Form ADV by investment adviser firms.
The sections of Form ADV included in this report are:
Item 1 – Identifying Information
Item 2 – SEC Registration
Item 3 – Form of Organization
Item 5 – Information About Your Advisory Business
Item 6 – Other Business Activities
Item 7 – Financial Industry Affiliations and Private Fund Reporting
Item 8 – Participation or Interest in Client Transactions
Item 9 – Custody
Item 10 – Control Persons
Item 11 – Disclosure Information
Please note that Exempt Reporting Advisers only file Items 1, 2, 3, 6, 7, 10, and 11 on Form ADV.
State Investment Advisers file all of the above with the following exceptions:
Item 2 – SEC Registration is not included
Part 1B is included.
Please refer to the Form ADV for a full description of the data fields included in this report; the Form ADV maybe be found at http://www.sec.gov/about/forms/formadv.pdf.
Note: This document link is available as a Portable Document Format (PDF) file. If you do not have the Adobe Acrobat Reader to view PDF files,
please click here to download.
How to Obtain Information About Specific Investment Advisers and Investment Adviser Representatives
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. You may also view information on registered investment adviser representatives by clicking on the Investment Adviser Search link on the left navigation panel of this page and then selecting an Individual Search.