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Frequently Requested FOIA Document:
Information About Registered Investment Advisers

What You Should Know About the Data File

The Investment Adviser Information Report is made available as a PKZip file (www.sec.gov/about/pkzip.htm) that contains a Comma Separated Values (.csv) file when unzipped. This file contains information about investment advisers who are registered with the SEC. The data fields included in this report are:

SEC Region Name
Organizational 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 Investment Adviser Information Report data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system. 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. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy.

Investment advisers file Form ADV Part 1 to register with the SEC and/or the states, and must periodically update the information on their forms. Form ADV contains information about an investment adviser and its business operations. Form ADV also contains disclosure about certain disciplinary events involving the adviser and its personnel. The data published in the Investment Adviser Information Report is a subset of the information that is filed on Form ADV by investment adviser firms.

How To Obtain Information About Specific Investment Advisers

You can view a SEC-registered or State-registered investment adviser's most recent Form ADV online by visiting the Investment Adviser Public Disclosure (IAPD) (www.adviserinfo.sec.gov) website.

Additional Information Sources Regarding SEC-Registered Investment Advisers

You can get copies of Form ADV for a SEC-registered investment adviser from the SEC (please refer to How to Request Public Documents (www.sec.gov/answers/publicdocs.htm)). In addition, you can visit the Public Reference Room at the SEC's Headquarters, located at 100 F Street, NE, Washington, DC 20549 from 10:00 a.m. until 3:00 p.m. to obtain copies of these forms.

Additional Information Sources Regarding State-Registered Investment Advisers

You can find out how to get in touch with your state securities regulator to obtain information about a state-registered investment adviser through the website of the North American Securities Administrators Association, Inc. (NASAA) (www.nasaa.org/QuickLinks/ContactYourRegulator.cfm).

For technical questions regarding this website, send an e-mail message to webmaster@sec.gov. For additional information about FOIA, please call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-8300. For additional information regarding the data, please contact the Division of Investment Management at (202) 551-6999 or IARDLIVE@sec.gov.

Download the Investment Adviser Information Report now
(ZIP archive size: approximately 0.8 MB; decompressed size: approx. 5 MB)
Report as of: May 1, 2009

http://www.sec.gov/foia/docs/invafoia.htm

Frequently Requested FOIA Document: Information About Registered Investment Advisers