Other

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: iard@finra.org

Pending Investment Adviser Registrations
Division of Examinations
(202) 551-7250 | E-mail: EXAMSRegistrationsInquiries@sec.gov

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: IARDLIVE@sec.gov.
For frequently asked questions concerning Form ADV and IARD, please see: Form ADV/IARD FAQs. Note: 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: http://www.nasaa.org/

Form ADV Part 1 Data Files
Form ADV Part 2 Data Files
Form ADV-W Data Files

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.

Additional Resources

See also Information About Registered Investment Advisers and Exempt Reporting Advisers.
To view the latest ADV filing for a specific adviser, please visit the Investment Adviser Public Disclosure website.
The SEC does not have access to data for state-registered investment advisers. FINRA maintains state data. To obtain information about state-registered investment advisers, you will have to contact the individual states. A list of state regulators is available from the North American Securities Administrators Association at www.nasaa.org (Contact Your Regulator).
The files that have "_20150315" as part of their nomenclature have the data from 2001 to March 15, 2015. For example: DRP_Criminal_20150315.csv.

Other

Form ADV Data

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

Additional Resources

Form ADV Part 1 Data Files

Form ADV Part 2 Data Files

Part 2 Archives

Form ADV-W Data Files