Using IAPD

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