Check out your Investment Adviser

Check Before You Invest

Check Before You Invest Form
Contains helpful questions to consider when working with a financial services professional.

Check out your money manager, financial planner, or other investment adviser on the Investment Adviser Public Disclosure website. On the “Investment Adviser Search” screen, enter the investment adviser’s name, CRD number or SEC file number and then follow the instructions for viewing the investment adviser’s Form ADV. When checking out your investment adviser, always view the investment adviser’s “Registration Status” on Form ADV. The following is a summary of the “Registration Status” you may find for both State and SEC registered investment advisers.

State Registered Investment Advisers

If the investment adviser is registered only with the state(s), the state(s) the investment adviser firm is currently registered with, or was registered in during the previous two years, will be listed. By clicking on any of the states listed, you will be able to view the investment adviser’s Form ADV. To check whether the investment adviser currently is registered in a state, click on the “Registration Status” menu item on the side navigation panel. Once you click on the “Registration Status” hyperlink, a screen will appear with the registration status for each state in the following format:

If you click on the “Registration Status” hyperlink on this screen when you are in the IAPD website, a pop-up window will appear with an explanation of the various registration statuses.

SEC Registered Investment Advisers

– If the firm is, or was, registered with the SEC, a list of state(s) in which the firm is registered or notice filed will not appear. Click on the “Registration Status” menu item on the IAPD website on the side navigation panel to check the jurisdiction(s) in which the firm is registered or notice filed. Once you click on the “Registration Status” hyperlink, a screen will appear with the firm’s registration and/or notice filing status with the SEC and each state, as applicable, in the following format:

Notice Filings

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called “notice filings”. Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.