Investment Adviser Lookup
Search SEC registered investment advisory firms or individual advisers by name or CRD number. See registration status, office location, whether there are disclosures, and links to the firm's Form ADV.
How to check an investment adviser
Search the firm or person above. Check that the status is active, look at whether there are disclosures (past regulatory actions, complaints or criminal matters), and open the official report for the details. For firms, the Form ADV brochure explains fees, services and conflicts of interest.
What is Form ADV?
Form ADV is the registration form investment advisers file with the SEC or their state. Part 1 covers the business, ownership, clients and disciplinary history. Part 2, the brochure, is the plain English document clients receive. Advisers update it at least once a year.
What is a CRD number?
A CRD (Central Registration Depository) number is the permanent ID a firm or individual gets when registering with FINRA or the SEC. It stays the same if an adviser changes firms, so it is the most reliable way to look someone up.