Securities and Exchange Commission

Registered Investment Advisers

The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.

Example records
11NamebrandAlternate Namelegal entityCityaddressStateaddressZIP CodeaddressStreet AddressaddressFull NamepersonEmailwebsitePhonephone numberWebsitewebsiteSec Regiongeographic
NQUANTUM NEXUSQUANTUM NEXUS LTD.WATERTOWNSD57201-350725 1ST AVE SWPETER RYAN HENDRICKSONGSINVESTMENTS.PRH@GMAIL.COM6059568107http://www.quantum-nexus.comDRO
NBIRIS CAPITAL PARTNERSBIRIS CAPITAL PARTNERS L.P.NEW YORKNY1000514 WALL STREET 20TH FLOORNIKOLAOS BIRISNICOLASBIRIS@GMAIL.COM9173288346http://BIRISCAPITAL.COMNYRO
NTRUE NORTH CAPITAL MANAGEMENT LLCTRUE NORTH CAPITAL MANAGEMENT LLCKENSINGTONCA94707829 COVENTRY ROADJOHN GOUGHJGOUGH@TRUENORTHFUNDS.COM4066070123HTTPS://WWW.TRUENORTHFUNDS.COMSFRO
Use cases

Counterparty Verification Before Allocating Client Assets

A prime brokerage onboarding team checks whether a prospective fund manager is a registered investment adviser, confirms the legal entity name matches what was provided in onboarding documents, and verifies the SEC registration number before approving the relationship.

Alternate NameSec#Organization Crd#Firm TypeUmbrella Registration

Fraud Signal Detection for Home-Based Advisory Firms

A financial crimes analyst at a bank flags incoming wire instructions from counterparties claiming to be investment advisers, then cross-references the sender against this dataset to identify firms operating out of private residences or using personal email domains, which are associated with higher rates of impersonation and affinity fraud.

Main Office Private Residence FlagEmailNameOrganization Crd#Sec Region

Market Sizing for Compliance Software Sales

A sales operations team at a regtech company segments the registered adviser population by state, firm type, and number of offices to estimate total addressable market, prioritize outbound territories, and identify multi-office firms that are more likely to need enterprise compliance tooling.

Firm TypeStateTotal Number Of Offices, Other Than Your Principal Office And Place Of BusinessTotal Number Of Relying AdvisersSec Region
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