DIRECT ANSWER
How to search
Go to the official Investment Adviser Public Disclosure website, search by adviser firm, individual name, or CRD number, open the matching record, confirm its legal name and registration status, and then review the latest Form ADV filing and public brochures. Record the filing date because Form ADV information changes through amendments.
At a glance
- Official search
- Investment Adviser Public Disclosure
- Best identifier
- CRD number
- Core filing
- Form ADV Part 1
- Narrative document
- Part 2 brochure
01
Form ADV search: step by step
| Step | Action | Why it matters |
|---|---|---|
| 1 | Open adviserinfo.sec.gov | Use the official public disclosure system |
| 2 | Choose firm or individual search | Firm and representative records are different |
| 3 | Enter a name or CRD number | CRD is the strongest disambiguation key |
| 4 | Confirm the matching record | Check legal name, location, CRD, and registration status |
| 5 | Open the latest filing and brochures | Review structured disclosures and narrative documents |
| 6 | Record the filing date | Do not treat an older value as current |
02
Search by name or CRD number?
Use a CRD number when you already have it. It points to one registration record and avoids many name collisions. When searching by name, try the legal name, a current business name, or an individual’s full name, then verify the result with location and registration details.
Do not assume that a brand, parent company, affiliated broker-dealer, adviser firm, and individual representative share one record.
03
Which Form ADV document should you open?
| Document | Use it for |
|---|---|
| Latest Form ADV Part 1 | Identity, business, clients, regulatory AUM, ownership, affiliations, and disclosures |
| Part 2A brochure | Services, fees, methods, conflicts, disciplinary information, and business practices |
| Part 2B supplement | Background and conflicts for certain supervised persons |
| Form CRS / Part 3 | Concise retail relationship, services, costs, conflicts, and disciplinary-history summary |
| Prior filings | Historical changes and the source date of earlier values |
04
Checks before using a Form ADV fact
- Match the legal entity and CRD number.
- Confirm whether the record is a firm or an individual.
- Use the latest relevant filing, not simply the first document listed.
- Preserve the exact item or schedule for structured fields.
- Keep filing date, brochure date, and measurement date separate.
- Read disclosure details rather than assigning a severity score from a yes/no flag.
FAQ
Frequently asked questions
Is Form ADV public?
Yes. Public investment adviser filings and brochures are available through the official Investment Adviser Public Disclosure website.
Can I search Form ADV by CRD number?
Yes. A CRD number is the most reliable key for locating a particular adviser firm or representative record.
Which Form ADV shows an adviser’s fees?
Part 2A, the narrative brochure, describes the adviser’s fee schedule and related business practices. Review the current brochure and agreement for actual costs.
Does Form ADV show assets under management?
Part 1A reports regulatory assets under management under the Form ADV instructions. It may differ from an AUM figure published in marketing materials.
SRC
Primary sources
Definitions and regulatory claims on this page are grounded in the following official public resources.