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Using IAPD
The IAPD Program provides information about investment adviser firms registered with the SEC and most state-registered investment adviser firms. The SEC typically regulates larger investment advisers while smaller investment advisers generally are regulated by the states.
Through IAPD, you can:
- Search for an investment adviser firm
- View the adviser’s current Form ADV filing
- Check the adviser’s registration status
- Search for an investment adviser representative
- View information on the representative’s professional background and conduct
- Check the representative’s registration status
- Link to a state regulator’s website
- Link to the FINRA BrokerCheck website for information about broker-dealers and stockbrokers