SEC Reporting Analytics – SEC Registered Investment Adviser Firm Reports

Uniform application form ADV for investment adviser registrations.

Description:

The Investment Adviser Compilation Reports data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system. This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their filing obligations under state and federal law with a single electronic filing made over the Internet. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we cannot guarantee its accuracy. Investment advisers file Form ADV Part 1A to register with the SEC and /or the states or file certain sections of Form ADV to report as an Exempt Reporting Adviser with the SEC and/or states. In addition investment advisers must also file Form ADV Part 1B to register with states. Form ADV contains information about an investment adviser and its business operations. Form ADV also contains disclosure about certain disciplinary events.

Table Name:

SECINVESTMENTADVISERS

Field Names:

– Item 1: Identifying Information
– Item 2: SEC Registration
– Item 3: Form of Organization
– Item 5: Information About Your Advisory Business
– Item 6: Other Business Activities
– Item 7: Financial Industry Affiliations and Private Fund Reporting
– Item 8: Participation or Interest in Client Transactions
– Item 9: Custody
– Item 10: Control Persons
– Item 11: Disclosure Information
– & more

Please refer to the Form ADV for a full description of the data fields included in these reports; the Form ADV maybe be found at

http://www.sec.gov/about/forms/formadv.pdf

About the Provider:

SEC Reporting Analytics streamlines research, assessment, and comparison of fundamental financial statement operating metrics and accounting disclosures for all SEC Edgar filing forms (Form 10-K, Form 10-Q, Form 8-K). The platform was developed to support Mutual Funds, Pension Funds, Hedge Funds, Private Equity, Growth Equity, Venture Capital, Institutional and Retail Investors community develop programs and trading strategies that meet investment and target returns. The data set can also be used for various purposes including a prospecting platform for business development teams of certain products and services that firms can offer based on target customer prospect criteria. The platform was developed in 2016 and has since consistently proven to be an accurate and reliable source of quantitative analytics for investment decision making.

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