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Investment Adviser Registration Depository (IARD)

Dec. 14, 2010

The Investment Adviser Registration Depository (IARD) functions as a one-stop electronic filing system for investment advisers. All SEC-registered investment advisers and investment advisers applying to register with the SEC must file Form ADV and amendments to Form ADV electronically through IARD. Most states also require investment advisers registered in their states to submit filings electronically through IARD, although some states accept paper forms.

You can view a copy of an investment adviser firm's electronic Form ADV on the SEC's Investment Adviser Public Disclosure (IAPD) website.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

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