![]() Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy. This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their filing obligations under state and federal law with a single electronic filing made over the Internet. The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system. What You Should Know About the Data Itself Please note that Exempt Reporting Advisers only file Items 1, 2, 3, 6, 7, 10, and 11 on Form ADV. Item 8 - Participation or Interest in Client Transactions Item 5 - Information About Your Advisory Business ![]() The sections of Form ADV included in this report are: Please refer to the Form ADV for a full description of the data fields included in this report the form ADV may be found at. ![]() The majority of the data fields included in this report are from Form ADV and the report’s column headings refer to specific questions within Form ADV (e.g. These files contain information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC. The Investment Adviser Information Reports are made available as zip files ( that contain a spreadsheet file when unzipped. What You Should Know About the Data Files ![]()
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