Form Filing: IA Firm Registration
Investment adviser firms must register with the SEC and or state(s) by filing the Form ADV. The SEC has mandated that all federally registered IA firms must make their firm filings electronically via the IARD system. Many states have also mandated electronic registration of state registered IA firms; therefore, state regulated IA firms should file electronically as directed/mandated by the state(s) with which they are registered. State registered firms may also voluntarily elect to file electronically via the IARD system. On this page are links to:
- The current version of the ADV forms available from the SEC Web Site.
- Information regarding the filing types for firm registration.
- User support tools available to help guide you through an Organization Form Filing.