You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm.

3 天之前 · You can view an SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered adviser's most recent Form ADV online by clicking on the Investment Adviser Search link on the left navigation panel of this page.

Form ADV Data; Resources; Individual . Firm . Individual Name/CRD# at. Firm Name or CRD/SEC# (optional) in. City, State or ZIP (optional) Search. Firm Name or CRD/SEC# (optional) in. City, State or ZIP (optional) Search. When communicating online or investing with any professional, make sure you know who you’re dealing with.

An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV.