The IAPD database 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, including the firm’s current relationship summary
- 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
- Automatically transfer to the FINRA BrokerCheck website for information about brokers and their registered representatives.