Frequently Requested FOIA Document:
Information About Registered Investment Advisers
What You Should Know About the Data File
This report is supplied as a PKZip file that becomes an ASCII text file when unzipped. The text file contains the SEC region name, SEC file numbers, names, addresses, telephone numbers, and disclosure information of investment advisers who are registered with the SEC.
The information in this file is raw data data that is meant to be used as input to another program. The data items are arranged as "variable-width" fields in a pipe delimited format. Although the file can be viewed in any program that accepts ASCII text (for example, a word processor), the data fields will appear to run together if you do so. The record layout is shown below for those who want to process the data into a more usable form.
SEC Region Name|Organization CRD #|SEC #|Primary Business Name|Legal Name|Main Street Address 1|Main Street Address 2|Main Office City, State, Postal Code|Main Office Country|Mail Office Street Address 1|Mail Office Street Address 2|Mail Office City, State, Postal Code|Mail Office Country|Contact Name|Telephone Number|Legal Status|Types of Advisory Activities|Regulator Status|Effective Date|Criminal Disclosures|Regulatory Action Disclosures|Civil Judicial Disclosures|Bankruptcy Disclosures|Judgment/Lien Disclosures|Bond Payout Disclosures
What You Should Know About the Data Itself
The SEC continuously reviews information filed on Forms ADV through the Investment Advisers Repository Display (IARD) system. Although the SEC examines the data as carefully as possible, we can provide no assurances that all of the information on the list is accurate or current.
You can view an adviser's most recent Form ADV online by visiting the newly launched Investment Adviser Public Disclosure (IAPD) website.
You can also get copies of Form ADV for individual advisers and firms from the investment adviser, your state securities regulator, or the SEC, depending on the size of the adviser. You can find out how to get in touch with your state securities regulator through the North American Securities Administrators Association, Inc.'s Web site. If the SEC registers the investment adviser, you can get the Form ADV at a cost of 24 cents per page (plus postage) from the SEC at:
Office of Public Reference
450 5th Street, NW, Room 1300
Washington, D.C. 20549-0102
phone: (202) 942-8090
fax: (202) 628-9001
For technical questions regarding the website, send an e-mail message to firstname.lastname@example.org. For additional information about the data, call the SEC's Branch of Freedom of Information and Privacy Act Operations at (202) 942-4320.
Download the Investment Adviser information report now
(ZIP archive size: approx. 520 KB; decompressed size: approx. 3.0 MB)
Report as of: October 14, 2003