Welcome to the IARD website. This site provides investment adviser firms and representatives with information about the Investment Adviser Registration Depository (IARD) system.
IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD. The system has been developed according to the requirements established by its sponsors — the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) — and an Industry Advisory Council representing investment adviser firms.
Information about investment advisers for the investing public is available on the Investment Adviser Public Disclosure (IAPD) website.
System Availability
IARD and PFRD are generally available from 5 a.m. to 11 p.m. ET, Monday through Friday with limited hours on Saturday and Sunday. Refer to the IARD/PFRD Availability Schedule for detailed availability.
What's New
Form ADV, ADV-W and ADV-E Moving to FINRA Gateway
FINRA is continuing its multi-phase registration system modernization by incorporating IARD program filing capabilities into FINRA Gateway. The updated platform will offer users a more efficient experience and provide 24/7 filing capability. Throughout this effort, FINRA is collaborating closely with the SEC, NASAA, and state regulators to ensure alignment with regulatory requirements.
The IARD migration to FINRA Gateway will proceed incrementally, starting with initial and amended Forms ADV, ADV-W, and ADV-E in 2026. Firms should expect to use both Classic IARD and FINRA Gateway until full integration is complete. FINRA will post key milestone dates and supporting resources on IARD.com as they become available.
System Release Notes
See the Systems Updates page for more information.
2025 Entitlement Certification
FINRA’s 2025 Entitlement Certification period was April 14 – June 16. During this period Super Account Administrators (SAAs) for firms with more than one user and/or administrator account certified that individuals have the appropriate level of access to FINRA Systems required to perform their job responsibilities. Organizations with only an SAA account and no other users or administrators had the option to certify but were not required.
See the following pages for additional information:
Reminders
Applying Regulatory Element CE to IAR CE Requirements
Investment adviser representatives (IARs) can apply Regulatory Element training to their Products and Practice requirement. Individuals can access the functionality through their Financial Professional Gateway (FinPro Gateway™) account. If a firm would like to cover the Regulatory Element reporting fee for all individuals registered with their firm, they can opt-in to the IAR CE Regulatory Element/Products and Practice (PP) Fee firm setting in FINRA Gateway. More information is available in the Firm Settings Guide.
Firm Name Reservations
FINRA does not research or reserve names for investment adviser-only firms. Contact the state directly for guidance. Investment adviser firms can also consult the How to Access IARD page for more information about requesting and maintaining access to the Investment Adviser Registration Depository (IARD) and its supporting systems.
Online Testing
The Series 63, Series 65, and Series 66 qualification exams will only be available online for candidates who require a testing accommodation.
Protect Personal Information
Only provide personal information about individuals in response to specific questions that solicit that information. When responding to more general questions that accept narrative responses, use terms that do not disclose personal information (including account numbers). Review the guidance provided on the Protecting Personal Information in Form ADV Filings page for more information.
Investment Adviser Representative Fingerprint Submissions
FINRA does not process fingerprint transactions for investment adviser (IA) firms. An IA-only firm must submit fingerprints directly to those states that require a fingerprint check for an RA registration. Contact the applicable state to verify state fingerprint requirements. Fingerprint submissions received by FINRA from an IA-only firm will not be returned to the firm.
Add FINRA.org to Safe-Sender Email List
FINRA is the operator of IARD on behalf of the IARD program sponsors, the SEC and NASAA. To ensure consistent delivery of FINRA emails to your inboxes, add our email domain, FINRA.org to your firm's safe-sender list. Review this Subscriptions Help page for instructions on how to add email addresses or domains to your firm’s specific email application. If your email application requires you to enter individual email addresses to your safe-sender list in addition to, or in lieu of, an email domain, add the following addresses:
Also, if you are an SEC-registered IA firm, please add: [email protected]
Form ADV-E Guidance for Independent Public Accountants
A quick reference guide to Form ADV-E Surprise Examination Filing website is now available for independent public accountants conducting a surprise inspection of an investment adviser firm.
SEC Division of Investment Management: Electronic Filing for Investment Advisers on IARD
Visit the SEC website for information on IARD.