DIRECT ANSWER
Quick answer
Search an investment adviser through the official IAPD system using a firm name, individual name, state, city, ZIP, or CRD number. Confirm the legal record, SEC or state registration, current Form ADV, brochures, locations, and public disclosures. If the person or firm also conducts brokerage business, follow the linked BrokerCheck record. IAPD and the applicable state regulator provide current state-registration context; an SEC historical data download is not a complete state-registered adviser directory.
At a glance
- Adviser lookup
- IAPD
- Broker lookup
- FINRA BrokerCheck
- Adviser filing
- Form ADV
- Registration key
- CRD number
- State search
- IAPD location fields and state regulator
Investment adviser lookup workflow
| Step | What to do |
|---|---|
| 1. Identify | Collect the firm or person name, location, website, and CRD if available |
| 2. Search IAPD | Choose the firm or individual record type, narrow by state, city, or ZIP, and review possible matches |
| 3. Confirm registration | Check SEC and state registrations shown in the current public record |
| 4. Read documents | Open Form ADV, Part 2 brochure, and Form CRS when available |
| 5. Cross-check brokerage status | Use BrokerCheck for broker-dealer and broker registrations |
| 6. Preserve evidence | Record the CRD, filing date, and official record URL |
IAPD, BrokerCheck, and state records
IAPD is the primary public source for investment adviser firms and representatives. BrokerCheck is FINRA’s public tool for brokers and brokerage firms and also provides access to connected adviser information. State securities regulators can supply additional licensing and registration context.
One professional can have both advisory and brokerage relationships. Review the account type, services, fees, conflicts, and applicable public documents rather than treating the job title as the regulatory category.
How to search registered advisers by state
Use IAPD’s firm search with the state and, when useful, city or ZIP fields to narrow the public adviser records. Treat the location filter as a discovery step, then open the record and confirm the jurisdictions and registration status shown for that firm.
The SEC’s published Form ADV data page says its downloadable data does not include state-registered advisers. If the question is whether a state-registered firm is current or authorized in a particular jurisdiction, check the IAPD record and the relevant state securities regulator instead of treating absence from an SEC download as evidence that no record exists.
How to verify the right record
- Match the legal name and any current business name.
- Confirm city, state, office address, and employer history.
- Use CRD rather than name alone when possible.
- Distinguish the individual record from the firm record.
- Check current and prior registration status.
- Open the underlying disclosure details and dated documents.
Finding an adviser’s reported AUM
The structured Form ADV record reports regulatory assets under management under the form instructions. Use the value from the relevant filing with its measurement and filing dates. Do not substitute the aggregate value of a Form 13F information table or a firm’s undated marketing claim.
What a public-record search cannot decide
Registration and disclosure records provide evidence, not a recommendation. They do not determine whether an adviser is suitable, fairly priced, conflict-free, or likely to perform well. Consider the services, agreement, fees in dollars, conflicts, disciplinary information, and your own needs.
FAQ
Frequently asked questions
Where do I search for an SEC-registered investment adviser?
Use the official Investment Adviser Public Disclosure website. Search the firm or individual and confirm the current registration shown on the record.
Should I use IAPD or BrokerCheck?
Use IAPD for adviser records and BrokerCheck for broker and brokerage records. If a person or firm has both types of registration, review both connected records.
Can I look up an adviser by CRD number?
Yes. CRD is a stronger lookup key than a name because it identifies the specific registration record.
Does SEC registration mean an adviser is approved?
No. Registration is not a regulator endorsement or performance rating.
SRC
Primary sources
Definitions and regulatory claims on this page are grounded in the following official public resources.
- Official IAPD search
- Investor.gov: Check out your investment professional
- FINRA: About BrokerCheck
- SEC Form ADV dataExplains the scope of SEC downloads and their limits for state-registered advisers.
- NASAA: Contact your regulator