IA Links

NASAA Investment Adviser Guide 

Form ADV 
For answers to interpretive questions about Forms ADV or U-4, state registrants should check first with appropriate state securities regulators. A list can be found here.

Information on nationwide electronic registration for investment adviser firms and representatives.

Fee Information
A guide to information about the fees to register investment adviser firms and representatives, as well as computerization fees.

Exemption Information
A guide to jurisdictions that exempt broker agents from IA exam requirements.

Series 65 & 66 Exam Information

Investment Adviser Public Disclosure (IAPD)
Search for an investment adviser firm on this website and view review the public portions of federal and state registered firms’ Forms ADV Part I. To get detailed information on an investment adviser firm or representative, including disciplinary history, contact your state securities regulator.

Answers to Frequently Asked Questions regarding IARD aimed primarily at SEC registrants. NASAA IARD FAQs are available as well.

IARD System FAQs 
Answers to Frequently Asked Questions addressing technical and navigational questions about the IARD system.

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Industry Resources, Investment Adviser