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.
IARD
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.
Service Bureaus
A list of Service Bureaus that will assist investment advisers with their registration obligations for a fee.
IARD FAQs
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.
