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The SEC’s IAPD Program
Investment Advisers that manage more than $100 million in assets are usually regulated by the SEC. Advisers that do not meet this threshold generally are regulated by the states and investors should contact their State Securities Regulator for information pertaining to individuals managing less than $100 million in assets.
The IAPD database includes information about current and certain former Investment Adviser Representatives, 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. IAPD also provides links to FINRA's BrokerCheck system.
Through the IAPD, investors may:
- Search for an investment adviser firm;
- Check the adviser’s registration status;
- View the adviser’s current disclosures made through its Form ADV filing;
- Link to a State Regulator’s website; and
- Link to the FINRA BrokerCheck website.
Investment adviser firms not registered with the SEC electronically will not appear in IAPD search results. Contact the SEC at (202) 551-6825 or the appropriate State Securities Regulator if you want to check a firm’s registration status that is not listed in the IAPD database.
Information on individual investment advisers is available through State Securities Regulators.