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# Other

# Form ADV Data

                            Jan. 2, 2018                       

Questions about the Form ADV records posted below should be directed to the following:

### **Investment Adviser Registration and Reporting Forms *(Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)***

**Filer Support and Technical Questions *(ID, password, account setup, how to use IARD or file forms)***Financial Industry Regulatory Authority (FINRA)(240) 386-4848 | E-mail: iard@finra.org

**Pending Investment Adviser Registrations****Division of Examinations**(202) 551-7250 | E-mail: EXAMSRegistrationsInquiries@sec.gov

**Interpretive Questions *(investment adviser registration, exempt reporting adviser reports, Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)*****Investment Adviser Regulation Office (IARO)**(202) 551-6999 | E-mail: IARDLIVE@sec.gov. For frequently asked questions concerning Form ADV and IARD, please see: Form ADV/IARD FAQs. *Note: for the quickest reply, please send a detailed email.*

**Investment Adviser Representatives *(Form U4 and U5 Filings)*State Securities Regulator *(contact information available from North American Securities Administrators Association (NASAA))***(202) 737-0900 | Website: http://www.nasaa.org/
                                - Form ADV Part 1 Data Files
                                - Form ADV Part 2 Data Files
                                - Form ADV Part 3 Data Files
                                - Form ADV-W Data Files

Historical ADV Part 1 filing data for SEC registered investment advisers from January 2001 through the most recent quarter and for SEC exempt reporting advisers from December 2011 through the most recent quarter, is available in .csv format, below. These files contain ADV Part 1A, all Schedules, and DRPs. These data sets consist of multiple tables that may need to be combined into a database or linked, depending on how the data will be used. Form ADV Part 2 brochures are available below in .pdf format from April 2007 through the most recent quarter. Please allow approximately one month after the quarter ends for the updated files to be posted.

Additionally, Form ADV Part 3 data is available in .pdf format from April 7, 2020 to December 31, 2023.

## Additional Resources

                                - See also  Information About Registered Investment Advisers and Exempt Reporting Advisers .
                                - To view the latest ADV filing for a specific adviser, please visit the  Investment Adviser Public Disclosure website .
                                - The SEC does not have access to data for state-registered investment advisers. FINRA maintains state data. To obtain information about state-registered investment advisers, you will have to contact the individual states. A list of state regulators is available from the North American Securities Administrators Association at  www.nasaa.org  ( Contact Your Regulator ).
                                - The files that have "_20150315" as part of their nomenclature have the data from 2001 to March 15, 2015. For example: DRP_Criminal_20150315.csv.

## Form ADV Part 1 Data Files

### Form ADV Updates

                                    - Form ADV Updates RIA from October 1, 2023 to December 31, 2023  (18 MB)
                                    - Form ADV Updates ERA from October 1, 2023 to December 31, 2023  (677 KB)

### Form ADV Complete

                                    - Form ADV Complete RIA January 2001 to December 31, 2023  (1.2 GB)
                                    - Form ADV Complete ERA January 2001 to December 31, 2023  (68 MB)

## Form ADV Part 2 Data Files

### 2023

                                    - December 2023
                                    - November 2023
                                    - October 2023
                                    - September 2023
                                    - August 2023
                                    - July 2023
                                    - June 2023
                                    - May 2023
                                    - April 2023
                                    - March 2023 (1)
                                    - March 2023 (2)
                                    - March 2023 (3)
                                    - March 2023 (4)
                                    - March 2023 (5)
                                    - March 2023 (6)
                                    - March 2023 (7)
                                    - March 2023 (8)
                                    - March 2023 (9)
                                    - March 2023 (10)
                                    - February 2023
                                    - January 2023

### 2022

                                    - October - December 2022
                                    - September 2022
                                    - August 2022
                                    - July 2022
                                    - June 2022  |  Mapping Information
                                    - May 2022  |  Mapping Information
                                    - April 2022  |  Mapping Information
                                    - March 2022 (1)  |  Mapping Information for March 2022
                                    - March 2022 (2)
                                    - March 2022 (3)
                                    - March 2022 (4)
                                    - March 2022 (5)
                                    - March 2022 (6)
                                    - March 2022 (7)
                                    - March 2022 (8)
                                    - February 2022
                                    - January 2022

### 2021

                                    - December 2021  |  Mapping Information
                                    - November 2021  |  Mapping Information
                                    - October 2021  |  Mapping Information
                                    - September 2021  |  Mapping Information
                                    - August 2021  |  Mapping Information
                                    - July 2021  |  Mapping Information
                                    - June 2021  |  Mapping Information
                                    - May 2021  |  Mapping Information
                                    - April 2021  |  Mapping Information
                                    - March 2021 (1)  |  Mapping Information for March 2021
                                    - March 2021 (2)
                                    - March 2021 (3)
                                    - March 2021 (4) 
                                    - February 2021  |  Mapping Information
                                    - January 2021  |  Mapping Information

### 2020

                                    - December 2020  |  Mapping Information
                                    - November 2020  |  Mapping Information
                                    - October 2020  |  Mapping Information
                                    - September 2020  |  Mapping Information
                                    - August 2020  |  Mapping Information
                                    - July 2020  |  Mapping Information
                                    - June 2020  |  Mapping Information
                                    - May 2020  |  Mapping Information
                                    - April 2020  |  Mapping Information
                                    - March 2020 (1)  |  Mapping Information for March 2020
                                    - March 2020 (2)
                                    - March 2020 (3)
                                    - March 2020 (4)
                                    - February 2020  |  Mapping Information
                                    - January 2020  |  Mapping Information

### Archives

                                    - Form ADV Part 2 Archive Data and Mapping Files

## Form ADV Part 3 Data Files

### Form ADV Data Files 2020–2023

                                    - April 7, 2020 to December 31, 2023, Mapping Information
                                    - April 7, 2020 to December 31, 2023, Part 1 of 10
                                    - April 7, 2020 to December 31, 2023, Part 2 of 10
                                    - April 7, 2020 to December 31, 2023, Part 3 of 10
                                    - April 7, 2020 to December 31, 2023, Part 4 of 10
                                    - April 7, 2020 to December 31, 2023, Part 5 of 10
                                    - April 7, 2020 to December 31, 2023, Part 6 of 10
                                    - April 7, 2020 to December 31, 2023, Part 7 of 10
                                    - April 7, 2020 to December 31, 2023, Part 8 of 10
                                    - April 7, 2020 to December 31, 2023, Part 9 of 10
                                    - April 7, 2020 to December 31, 2023, Part 10 of 10

## Form ADV-W Data Files

### Form ADV-W Data Files 2001 – 2023

                                    - June 16, 2020 to December 31, 2023
                                    - Form ADV-W Updates from October 1, 2023 to December 31, 2023
                                    - June 16, 2020 to September 30, 2023
                                    - Form ADV-W Updates from July 1, 2023 to September 30, 2023
                                    - June 16, 2020 to June 30, 2023
                                    - Form ADV-W Updates from April 1, 2023 to June 30, 2023
                                    - June 16, 2020 to March 31, 2023
                                    - Form ADV-W Updates from January 1, 2023 to March 31, 2023
                                    - June 16, 2020 to December 31, 2022
                                    - Form ADV-W Updates from October 1, 2022 to December 31, 2022
                                    - Form ADV-W Updates from July 1, 2022 to September 30, 2022
                                    - April 1, 2022 to June 30, 2022
                                    - June 16, 2020 to June 30, 2022
                                    - June 16, 2020 to March 31, 2022
                                    - January 1, 2022 to March 31, 2022
                                    - June 16, 2020 to December 31, 2021
                                    - October 1, 2021 to December 31, 2021
                                    - July 1, 2021 to September 30, 2021
                                    - June 16, 2020 to September 30, 2021
                                    - February 11, 2019 to January 31, 2020
                                    - February 1, 2020 to April 30, 2020
                                    - June 16, 2020 to June 30, 2021 
                                    - April 1, 2021 to June 30, 2021 
                                    - January 1, 2021 to March 31, 2021 
                                    - October 1, 2020 to December 31, 2020 
                                    - January 16, 2020 to June 30, 2021
                                    - April 1, 2021 to June 30, 2021
                                    - January 1, 2021 to March 31, 2021
                                    - June 16, 2020 to March 31, 2021
                                    - May 1, 2020 to June 15, 2020
                                    - January 1, 2019 to April 30, 2020
                                    - January 1, 2001 to February 10, 2019

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