Division of Investment Management:
Electronic Filing of Form PF for Investment Advisers on PFRD
Welcome to the Form PF and PFRD (Private Fund Reporting Depository) Homepage with current information about Form PF, PFRD, electronic filing and related information for SEC Registered Investment Advisers.
PFRD is a subsystem of the IARD system. Please see www.sec.gov/iard for information about system availability, access, and other system information.
If you have your IARD ID and password and want to access IARD or PFRD, click "https://crd.finra.org/iad" to reach the log-in webpage.
All Form PFs are filed online through the PFRD system. Form PF may be filed either through a fillable form on the PFRD website or through XML submission. A paper version of Form PF may be found at http://www.sec.gov/about/forms/formpf.pdf
Additional technical information about filing Form PF may be found at http://www.iard.com/pfrd/default.asp
Form PF Draft XML Filing Schema Documentation / Technical Specifications are available at http://www.iard.com/pfrd/usertesting.asp
PFRD Filing Fees
The Commission has approved the following FINRA filing fees for SEC-registered investment advisers filing Form PF. Filing fees are charged for Annual Reports and Quarterly Reports to Form PF filed through PFRD.
FINRA Filing Fee Schedule
SEC-Registered Advisers filing Form PF with the SEC
- $150 for each Annual Report
- $150 for each Quarterly Report
The Commission has approved Form PF filing fees for investment advisers registered with the Commission (see Release No. IA-3305). SEC-registered investment advisers will have to pay the fee associated with their Form PF Annual Reports and Quarterly Reports. Fees must be credited to your firm's IARD Daily Account before you can submit your filing. No fee is charged for filing an electronic amendment to Form PF, a final Form PF filing, or a transition to annual reporting filing.