1. SEC Advisor Search – Finding an investment advisor you can trust.
SEC Investment Adviser Public Disclosure (IAPD) Database Registered investment advisors (RIAs) and investment firms who manage over $100 million in assets ...
Investment Advisors
2. Welcome to the Investment Adviser Registration Depository | IARD
Filing Online · The IARD system has three... · How to Access IARD · Contact Us
Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD. The system has been developed according to the requirements of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms.
3. How to Search for Investment Adviser Public Disclosure: The Ultimate ...
Feb 15, 2023 · Through IAPD, investors can search for an investment adviser firm or individual representative, view their current filing information, check the ...
Are you looking for an investment adviser? This guide will help you search for and compare disclosure documents.
4. Check out your Investment Adviser | The Department of Financial ...
Oct 10, 2019 · On the “Investment Adviser Search” screen, enter the investment adviser's name, CRD number or SEC file number and then follow the instructions ...
State of California
5. See if an Investment Adviser is Registered - CT.gov
... (IAPD) web site and keying in the available CRD numbers you find on this page. The IAPD Web site provides instant, free access to registration documents that ...
Generally, any person that is in the business of advising others concerning whether to buy or sell securities must register as an investment adviser. If the investment adviser has less than $100 million in assets under management, the adviser would register with the Securities Division. Advisers with $100 million or more in assets under management register with the Securities and Exchange Commission but file a notice with the Division. Every registration and notice filing expires on December 31st of each year and must be renewed annually.
6. Ask and Check | FINRA.org
Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal ...
It is important to "Ask and Check" about investments and investment professionals before you invest. Regardless of your trust or ties, or prior dealings with the professional, do your homework.
7. Investment Advisers & Investment Adviser Representatives
IAPD Investment Adviser Search. Citizenship Verification. The Nebraska Department of Banking and Finance is required to verify the immigration status of all ...
The Nebraska Department of Banking and Finance is a state agency under the direct supervision of the Governor. The Director of Banking and Finance is appointed by the Governor.
8. SEC Advisor Search Basics
Investment Adviser Firms; Exempt Reporting Advisers. What kind of information do you get? The Investment Adviser Public Disclosure (IAPD) database provides ...
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