{"id":9,"date":"2022-12-12T03:39:10","date_gmt":"2022-12-12T03:39:10","guid":{"rendered":"http:\/\/secadvisorsearch.local\/?p=9"},"modified":"2022-12-12T06:40:30","modified_gmt":"2022-12-12T06:40:30","slug":"sec-advisor-search-basics","status":"publish","type":"post","link":"http:\/\/secadvisorsearch.local\/sec-advisor-search-basics\/","title":{"rendered":"SEC Advisor Search Basics"},"content":{"rendered":"\n<p><strong>Who can you search on?<\/strong><\/p>\n\n\n\n<p>The United States Security and Exchange Commission (SEC) provides a searchable database with detailed information on three kinds of investment advisers:<\/p>\n\n\n\n<ul>\n<li>Investment Adviser Representatives (IARs)<\/li>\n\n\n\n<li>Investment Adviser Firms<\/li>\n\n\n\n<li>Exempt Reporting Advisers<\/li>\n<\/ul>\n\n\n\n<p><strong>What kind of information do you get?<\/strong><\/p>\n\n\n\n<p>The Investment Adviser Public Disclosure (IAPD) database provides information on registered investment advisers (e.g., number of employees, size of investments, contact information).<\/p>\n\n\n\n<p>More importantly, the database also provides information on whether they have been involved in a potentially negative event:<\/p>\n\n\n\n<ol>\n<li>The subject of a final regulatory event.<\/li>\n\n\n\n<li>Convicted of or pled guilty or no contest to a crime.<\/li>\n\n\n\n<li>The subject of a civil injunction or civil court finding involving a violation of any investment-related statutes or regulations.<\/li>\n\n\n\n<li>A respondent or defendant or the subject of an arbitration or civil litigation which resulted in an award, decision, or judgment for a customer that has been reported on a registration form.<\/li>\n<\/ol>\n\n\n\n<p>Click this button to go to the SEC\u2019s site and begin searching on investment advisors.<\/p>\n\n\n\n<p><a href=\"http:\/\/www.adviserinfo.sec.gov\/IAPD\/Content\/Search\/iapd_Search.aspx\">Search Financial Advisors on the SEC Site<\/a><\/p>\n\n\n\n<h4 class=\"wp-block-heading\">RECENT POSTS<\/h4>\n\n\n\n<ul>\n<li><a href=\"http:\/\/www.secadvisorsearch.local\/2016\/07\/01\/do-you-need-a-financial-advisor\/\">Do you need an investment advisor?<\/a><\/li>\n<\/ul>\n\n\n\n<h4 class=\"wp-block-heading\">FINANCIAL ADVISOR DATABASES<\/h4>\n\n\n\n<ul id=\"menu-advisor-databases\">\n<li><a href=\"http:\/\/www.adviserinfo.sec.gov\/IAPD\/Default.aspx\">SEC Investment Adviser Search<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/www.finra.org\/Investors\/ToolsCalculators\/BrokerCheck\/\">FINRA BrokerCheck<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/www.nasaa.org\/about-us\/contact-us\/contact-your-regulator\/\">State Securities Regulators<\/a><\/li>\n<\/ul>\n\n\n\n<h4 class=\"wp-block-heading\">ARCHIVES<\/h4>\n\n\n\n<ul>\n<li><a href=\"http:\/\/www.secadvisorsearch.local\/2016\/07\/\">July 2016<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Who can you search on? The United States Security and Exchange Commission (SEC) provides a searchable database with detailed information on three kinds of investment advisers: Investment Adviser Representatives (IARs) Investment Adviser Firms Exempt Reporting&#8230;<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[4],"tags":[],"_links":{"self":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/9"}],"collection":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/comments?post=9"}],"version-history":[{"count":1,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/9\/revisions"}],"predecessor-version":[{"id":10,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/9\/revisions\/10"}],"wp:attachment":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/media?parent=9"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/categories?post=9"},{"taxonomy":"post_tag","embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/tags?post=9"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}