Frequently Requested FOIA Document: Information About Registered Investment Advisers and Exempt Reporting Advisers
What You Should Know About the Data Files
The Investment Adviser Information Reports are made available as zip files (www.sec.gov/about/pkzip.htm) that contain a spreadsheet file when unzipped. These files contain information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC. The majority of the data fields included in this report are from Form ADV and the report’s column headings refer to specific questions within Form ADV (e.g. 5B(2) refers to Form ADV, Item 5B(2)). Please refer to the Form ADV for a full description of the data fields included in this report; the form ADV may be found at http://www.sec.gov/about/forms/formadv-part1a.pdf. The sections of Form ADV included in this report are:
Item 1 — Identifying Information
Item 2 — SEC Registration
Item 3 — Form of Organization
Item 4 — Successions
Item 5 — Information About Your Advisory Business
Item 6 — Other Business Activities
Item 7 — Financial Industry Affiliations
Item 8 — Participation or Interest in Client Transactions
Item 9 — Custody
Item 10 — Control Persons
Item 11 — Disclosure Information
Please note that Exempt Reporting Advisers only file Items 1, 2, 3, 6, 7, 10, and 11 on Form ADV.
What You Should Know About the Data Itself
The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system. This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their filing obligations under state and federal law with a single electronic filing made over the Internet. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy.
Investment advisers file Form ADV Part 1 to register with the SEC and/or the states or file certain sections of Form ADV to report as an Exempt Reporting Adviser with the SEC, and must periodically update the information on their forms. Form ADV contains information about an investment adviser and its business operations. Form ADV also contains disclosure about certain disciplinary events involving the adviser and its personnel. The data published in the Investment Adviser Information Reports are a subset of the information that is filed on Form ADV by investment adviser firms.
Note: Please be advised that some country fields are not in this report. They will be added back into the spreadsheet report in the future. The prior archived spreadsheet reports contain country fields (you may reference last month’s spreadsheet which should contain most of the advisers on this month’s report) and IAPD, www.adviserinfo.sec.gov, provides the most recently filed Form ADV including the country field for all investment advisers.
How To Obtain Information About Specific Investment Advisers
You can view a SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered investment adviser's most recent Form ADV online by visiting the Investment Adviser Public Disclosure (IAPD) (www.adviserinfo.sec.gov) website.
Additional Information Sources Regarding SEC-Registered Investment Advisers
You can get copies of Form ADV for a SEC-registered investment adviser or a SEC Exempt Reporting Adviser from the SEC (please refer to How to Request Public Documents (www.sec.gov/answers/publicdocs.htm)). In addition, you can visit the Public Reference Room at the SEC's Headquarters, located at 100 F Street, NE, Washington, DC 20549 from 10:00 a.m. until 3:00 p.m. to obtain copies of these forms.
Additional Information Sources Regarding State-Registered Investment Advisers
You can find out how to get in touch with your state securities regulator to obtain information about a state-registered investment adviser through the website of the North American Securities Administrators Association, Inc. (NASAA) (www.nasaa.org/about-us/contact-us/contact-your-regulator/).
For technical questions regarding this website, send an e-mail message to email@example.com. For additional information about FOIA, please call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-8300. For additional information regarding the data, please contact the Division of Investment Management at (202) 551-6999 or IARDLIVE@sec.gov.
- Download the Registered Investment Adviser Information Report now
(ZIP archive size: approximately 10.8 MB; decompressed size: approx. 11.5 MB)
Report as of: December 1, 2016
- Download the Exempt Reporting Adviser Information Report now
(ZIP archive size: approximately 1.23 MB; decompressed size: approx. 1.39 MB)
Report as of: December 1, 2016