U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Investment Adviser Registration Depository (IARD)

The Investment Adviser Registration Depository (IARD) functions as a one-stop electronic filing system for investment advisers. All SEC registered advisers and advisers applying to register with the SEC must file Form ADV (Part 1) electronically through IARD. The SEC no longer accepts paper filings of Form ADV (unless a hardship is granted). Many states now require advisers registered in their states to submit filings electronically through IARD, although some states accept paper forms.

You can view a copy of an investment adviser firm's electronic Form ADV (Part 1 only) on the SEC's Investment Adviser Public Disclosure (IAPD) website.


http://www.sec.gov/answers/iard.htm

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.


Modified: 05/15/2007