The IAPD Program provides information about investment adviser firms registered with the SEC and most state-registered investment adviser firms. The SEC typically regulates larger investment advisers while smaller investment advisers generally are regulated by the states.

Through IAPD, you can:

• Search for an investment adviser firm
• View the adviser’s current Form ADV filing
• Check the adviser’s registration status
• Search for an investment adviser representative
• View information on the representative’s professional background and conduct
• Check the representative’s registration status
• Link to a state regulator’s website
• Link to the FINRA BrokerCheck website for information about broker-dealers and stockbrokers