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An official website of the United States Government
hidden text Investment Adviser Public Disclosure
 * Investment Adviser Search
 * Investment Adviser Data
 * Resources
   


WELCOME TO THE INVESTMENT ADVISER PUBLIC DISCLOSURE WEBSITE

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investing, and contact FINRA with any concerns. For more information read the
investor alert on imposters.

For a complete compilation of Investment Adviser Firms currently registered with
the SEC and states securities regulators, download the Investment Adviser Data.

You can search for an Investment Adviser firm on this website and view the
registration or reporting form ("Form ADV") that the adviser filed. This website
will also search FINRA's BrokerCheck system and indicate whether an entity is a
Brokerage firm. Investment advisers file Form ADV to register with the SEC
and/or the states. Some advisers that do not have to register with the SEC or
the states ("Exempt Reporting Advisers") must nonetheless complete some of the
questions in Form ADV for purposes of reporting to the SEC and/or the states.
Form ADV contains information about an investment adviser and its business
operations. Additionally, it contains disclosure about certain disciplinary
events involving the adviser and its key personnel.

You can also search for an individual investment adviser representative and view
that individual's professional background and conduct, including current
registrations, employment history, and disclosures about certain disciplinary
events involving the individual. The information about investment adviser
representatives that appears on this website is collected from individual
Investment Adviser Representatives, Investment Adviser firm(s), and/or
securities regulator(s) as part of the securities industry's registration and
licensing process. Individuals that are Registered Representatives of a
Brokerage firm that are listed in FINRA's BrokerCheck system will also appear in
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