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Form ADV Data

Jan. 2, 2018

Questions about the Form ADV records posted below should be directed to the following:

Investment Adviser Registration and Reporting Forms (Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)

Filer Support and Technical Questions (ID, password, account setup, how to use IARD or file forms)
Financial Industry Regulatory Authority (FINRA)
(240) 386-4848 | E-mail:

Pending Investment Adviser Registrations
Division of Examinations
(202) 551-7250 | E-mail:

Interpretive Questions (investment adviser registration, exempt reporting adviser reports, Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)
Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail:
For frequently asked questions concerning Form ADV and IARD, please see: Form ADV/IARD FAQsNote: for the quickest reply, please send a detailed email.

Investment Adviser Representatives (Form U4 and U5 Filings) State Securities Regulator (contact information available from North American Securities Administrators Association (NASAA))
(202) 737-0900 | Website:

Historical ADV Part 1 filing data for SEC registered investment advisers from January 2001 through the most recent quarter and for SEC exempt reporting advisers from December 2011 through the most recent quarter, is available in .csv format, below. These files contain ADV Part 1A, all Schedules, and DRPs. These data sets consist of multiple tables that may need to be combined into a database or linked, depending on how the data will be used. Form ADV Part 2 brochures are available below in .pdf format from April 2007 through the most recent quarter. Please allow approximately one month after the quarter ends for the updated files to be posted.

Additionally, Form ADV Part 3 data is available in .pdf format from April 7, 2020 to December 31, 2023.

Additional Resources

Form ADV Part 1 Data Files

Form ADV Part 2 Data Files







Form ADV Part 3 Data Files

Form ADV-W Data Files

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