SEC Investment Advisers

A Service Provided by
[ Log In ]

Search for information about investment advisers who are registered with the SEC or who are filing reports as
Exempt Reporting Advisers with the SEC. The majority of the data fields included in this business data source are from
Form ADV and the report’s column headings refer to specific questions within Form ADV.

Search for a Company:

Or search by employee or client count using our
Criteria Search
Note: You may use % as a wildcard.
For example, "Test%Company" will return "TestCompany"
as well as "Test This Company" and "Test That Company"

Add an optional State filter below:

(Exempt from Financial Advisor requirements but choose to register with the SEC.
Data for their registrations can be different than for financial advisor registration information.)