Investment Advisor Registration Data Base
None.
Department of Labor PWBA Public Disclosure Room U.S. Department
of Labor Washington, DC 20210
Investment advisers who manage less than $25 million in assets and wish
to obtain investment advisor status under the Employee Retirement Income
Security Act.
Copies of state registration forms. Such forms vary from state to
state, but typically include name, SEC file number, Employer Identification
number, social security number, business address, etc.
29 U.S.C. 1002(38)
To develop a listing of individuals who have status as an investment
advisors under ERISA.
The records must be publicly available in accordance with ERISA.
None.
Manual records and electronic listing.
Records on this system are retrieved electronically by the name of
investment advisor. A list of the name, location, state of registration, and
date filed is available on the PWBA web-site.
Computer system is password protected and accessible only to personnel
creating and maintaining the database. Manual files are stored off site and are
only available to authorized personnel.
Manual files are destroyed when six years old. Electronic version is
deleted on the same schedule as the manual files or when no longer needed,
whichever is later.
Director of the Office of Participant Assistance and Communications
Pension and Welfare Benefits Administration U.S. Department of Labor
200 Constitution Avenue, NW Washington, DC 20210.
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated above.
Individuals must furnish their full names for their records to be located and
identified.
Same as notification procedure. Individuals requesting access must also
comply with Privacy Act regulations on verification of identity and access to
records (29 CFR 71.2).
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct their
written request to the System Manager listed above, and state clearly and
concisely what information is being contested, the reasons for contesting it,
and the proposed amendment to the information sought pursuant to 29 CFR
71.9.
Investment advisors who request investment advisor status under ERISA
None.
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