Form ADV Data
Jan. 2, 2018
Historical ADV 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. Please allow approximately one month after the quarter ends for the updated files to be posted.
- See also Information About Registered Investment Advisers and Exempt Reporting Advisers.
- For Form ADV Part 2 brochures submit a FOIA request.
- 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.