Investment Adviser Representative Search Now Available


Advisers

With little fanfare, the SECís Investment Adviser Public Disclosure (IAPD) system now provides access to search the records of individual investment adviser representatives (IARs). The new service went live on June 28, 2010. Previously, the IAPD only provided access to investment adviser firmsí Form ADV.

The new search functionality allows both investors and advisers alike to search for IARs either by name or CRD number. The information provided includes the IARís professional background, employment history, and current registrations. A detailed report is also available and includes current and former registrations, industry examinations passed, professional designations, and disclosures about certain disciplinary events involving the IAR. Additionally, the IAPD provides a link to BrokerCheck for those IARs also registered as a representative of a broker-dealer.

Current or prospective advisory clients may use this information to conduct due diligence on IARs, while firms may also use the information to screen potential employees. The IAPD Investment Adviser Search is available here: http://www.adviserinfo.sec.gov.

 

 

 

 

 

 

 

   
 
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