WELCOME TO THE INVESTMENT ADVISER REGISTRATION DEPOSITORY
Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of 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 of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms.
Information about investment advisers for the investing public can be found on the Investment Adviser Public Disclosure (IAPD) website.
What’s New on IARD
Please look to this area of the home page on a frequent basis for regular updates, new information, and documents about how to use IARD.
- User Testing
SEC approved changes to Form ADV are scheduled to go-live on October 1, 2017. Changes include the new Schedule R that will elicit information on Relying Advisers. User Testing (UT) is currently underway. If your firm wishes to participate, please send an email to RAD.UserTesting@finra.org. Be sure to include your Name, Firm CRD# and Firm Name.
- Password Update
FINRA is implementing additional password requirements and features for users of FINRA Entitlement applications/systems, including IARD and Web CRD. Passwords changed or created on or after July 29, 2017, must adhere to the updated requirements. Learn more on the FINRA Password Requirements page.
- 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.
- Web CRD/IARD Software Release 2017.07
View an explanation of changes implemented with the software release on July 1, 2017.
- IARD Availability
IARD is generally available from 5 a.m. to 11 p.m., Eastern Time (ET), Monday through Friday. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.
- Wyoming Registration Information
Effective July 1, 2017, as part of Release 2017.07, the state of Wyoming will begin registering investment adviser firms and individual registered advisers via Web CRD and IARD. More information concerning registration fees is available on the Fees and Accounting page.
- FINRA.org: Add to Safe-Sender Email List
FINRA is the operator of IARD on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, FINRA.org to your firm's safe-sender list as soon as possible. Please review this Subscriptions Help page for instructions on how to add email addresses/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, please add the following addresses:
Also, if you are an SEC-registered IA firm, please add: SECIARDNotifications@finra.org
- Form ADV-E Guidance for Independent Public Accountants
A quick reference guide to the 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 Staff Guidance for Interim Completion of Part 1A of Form ADV, Item 7.B. and Schedule D, Section 7.B.