Dec 27, 2025 · This file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available …

Investment advisers file Form ADV to register with the SEC and/or the states. Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must …

3 days ago · 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 …

Number of SEC-Registered Investment Advisers (RIAs) by Type of Adviser Data shown are from Table 1.1 in the May 2025 report. Visualized are data for 2024. Select a bar for a time-series …

This visualization relies on registration and exemptions reported on Form ADV Item 2. For each type of adviser in these items, the rows paraphrase each registration basis or exemption. …

Related amendments to the Advisers Act books and records rule, as well as amendments to the compliance rule, apply to all SEC-registered investment advisers, including those that do not …

Money managers, investment consultants, and financial planners are regulated in the United States as “investment advisers” under the U.S. Investment Advisers Act of 1940 (“Advisers …

This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register …

As discussed in greater detail below, the new law and rules adopted by the SEC will require a significant number of advisers currently registered with the SEC to withdraw their registrations …

May 22, 2012 · About the SEC Filings & Forms Regulatory Actions Staff Interps Investor Info News & Statements Litigation ALJ Information for...