Search for an investment adviser by firm name, legal name, CRD number, location or other available identifying information, then examine the reported facts and supporting regulatory evidence.
Investment Adviser & RIA Intelligence
Explore adviser identity, reported RAUM, clients, business activities, ownership cues, private funds, disclosures and historical changes from locally indexed official regulatory data.
Find an investment adviser
Build an adviser research profile
Search above and open a firm. The Overview becomes your starting point for evidence, scale, clients, relationships and historical change.
Compare advisers
Add 2–10 firms from search results or an open profile. The comparison keeps source dates visible.
Methodology & Form ADV field guideHow to interpret the research
Current-status discipline
Historical or bulk filing presence does not by itself establish current registration. Profiles show the date and kind of locally loaded evidence and provide an IAPD verification link.
RAUM
5F(2)(a) discretionary regulatory assets under management; 5F(2)(b) non-discretionary RAUM; 5F(2)(c) total RAUM. They remain separate from marketing AUM and private-fund gross assets.
Clients & activities
Client observations derive from Item 5.D where present. Advisory activity flags derive from Item 5.G. Missing values remain “Not reported”; ranges are not turned into invented exact values.
Disclosures
Item 11 yes-responses are neutral research cues only. A response can concern the adviser or a related person and requires review of the underlying filing and DRP.
Research Investment Advisers and RIAs
Investment Adviser & RIA Intelligence is designed for regulatory research, financial due diligence and analysis of publicly available investment-adviser information. It provides a structured way to examine adviser filings without requiring users to work directly with large regulatory datasets or unfamiliar Form ADV field names.
The tool is useful for accountants, auditors, investors, compliance researchers, financial professionals, students and others who need to understand the information investment advisers report to regulators.
Search by Adviser Name or CRD Number
Start with the adviser search to locate a firm using its name, legal name, CRD number, city, state, country or other available identifying information. Search results are based on locally indexed public regulatory data so normal searches do not require a new request to regulatory websites for every query.
Once an adviser is selected, the research workspace brings together the most important available information about the firm and its regulatory filings.
Investment Adviser Overview
The adviser overview provides a concise summary of the firm’s available regulatory information, including identifying information, headquarters, registration or reporting category, latest data date and important business characteristics.
Where supported by the underlying filing data, the overview may include regulatory assets under management, discretionary and non-discretionary assets, client information, advisory activities, private-fund involvement, ownership or control information, related persons and disclosure indicators.
Regulatory Assets Under Management
Regulatory assets under management, commonly abbreviated as RAUM, are an important measure reported through Form ADV. The tool separates total regulatory assets under management from discretionary and non-discretionary assets where the data supports that distinction.
Historical observations can also be used to study changes in adviser scale over time, including absolute changes, percentage changes and other descriptive measures when comparable observations are available.
RAUM should not automatically be treated as equivalent to every other measure described as assets under management. Regulatory definitions and filing context matter, so the application preserves the source and reporting context wherever possible.
Client Intelligence
Form ADV contains information about the types of clients an adviser serves. Depending on the filing and available data, these categories may include individuals, high-net-worth individuals, pension plans, pooled investment vehicles, charitable organizations, corporations and various institutional clients.
Investment Adviser & RIA Intelligence organizes available client information while distinguishing exact figures, ranges, reported responses and derived analytical values. Missing information is not automatically interpreted as zero.
Advisory Business Activities
Review the advisory services and business activities reported by an adviser. These may include portfolio management, financial planning, pension consulting, selection of other advisers, educational services and other advisory activities represented in Form ADV.
The tool is designed to preserve the relationship between a displayed business activity and the underlying regulatory filing or data snapshot.
Ownership and Control Research
Where supported by available Form ADV information, the tool can organize reported ownership and control relationships, executive information and other control-related filing data.
Ownership ranges are presented as reported. The application does not convert a disclosed ownership range into an unsupported exact ownership percentage and does not assume that every executive officer is also an equity owner.
Affiliations and Related Persons
Investment advisers may report relationships with other financial-industry businesses and related persons. Depending on available filing information, these relationships may involve other investment advisers, broker-dealers, banks, insurance businesses, commodity-related firms, pooled investment vehicles and other financial organizations.
These records are presented as reported regulatory relationships rather than as independently inferred affiliations.
Private Fund Intelligence
Advisers that manage or advise private funds may provide substantial additional information through Form ADV. Where the relevant records are available, the application can identify private-fund participation and organize fund-related information for research.
Private-fund information may include fund counts and other reported characteristics. The application keeps private-fund asset measures separate from adviser-level regulatory assets under management unless the filing evidence supports a direct relationship.
Disciplinary Disclosure Research
Form ADV includes disciplinary disclosure questions covering a range of regulatory, civil, criminal and other matters. Investment Adviser & RIA Intelligence can identify when supported filing data contains a reported disciplinary disclosure response and direct the researcher toward the underlying filing evidence.
A disclosure should not automatically be interpreted as proof of fraud, wrongdoing or current regulatory risk. A disclosure may involve an allegation, a resolved matter, an affiliated entity or an individual associated with the adviser. The underlying filing should always be reviewed for context.
Filing History and Change Intelligence
Historical Form ADV information can reveal how an advisory business has changed. The application is designed to support comparisons between filing snapshots so researchers can identify factual changes such as changes in assets, clients, offices, ownership, business activities, private-fund involvement or disclosure responses.
Changes are presented neutrally as added, removed, increased, decreased or changed. A change is not automatically described as material or suspicious.
Compare Investment Advisers
Adviser comparison tools allow multiple firms to be examined side by side using common factual measures such as regulatory assets under management, discretionary asset ratios, reported client information, private-fund involvement, business activities and historical growth where comparable observations exist.
Reporting dates matter when comparing advisers. The application highlights source dates so that information from materially different periods is not silently presented as though it were contemporaneous.
Investment Adviser Industry Research
Aggregated public adviser data can also be used to study the investment-adviser industry. Depending on the locally available dataset, research views may include adviser counts, regulatory asset distributions, adviser-size categories, geographic distribution, organizational characteristics and private-fund participation.
Statistics generated by this application are identified as calculations based on the locally available public dataset and should not automatically be treated as official SEC industry statistics.
What Is Form ADV?
Form ADV is the principal registration and reporting form used by investment advisers. It contains information about an adviser’s business, ownership, clients, assets, advisory activities, affiliations and certain disciplinary matters.
Different parts and schedules of Form ADV serve different purposes. Some information is highly structured, while other information appears in narrative documents such as adviser brochures.
Registered Investment Adviser vs. Exempt Reporting Adviser
A registered investment adviser and an exempt reporting adviser are not the same regulatory category. The tool therefore keeps registration and reporting classifications distinct whenever the official data supports that distinction.
Historical appearance in a Form ADV dataset does not by itself prove that an adviser is currently registered. Current registration information should be confirmed using the official Investment Adviser Public Disclosure record.
Verify the Current Adviser Record
Investment Adviser & RIA Intelligence is intended to organize and analyze public regulatory information, not replace the official regulatory record. Adviser profiles therefore provide a route to verify current information through the official Investment Adviser Public Disclosure system where a suitable record link is available.
Evidence-Based Investment Adviser Research
Important values are presented with source context wherever practical. The objective is to make it easier to move from a research observation back to the relevant filing, reporting period or regulatory dataset.
Derived analytical values are kept separate from directly reported filing values. Calculations such as growth percentages or ratios are based on disclosed inputs rather than being presented as regulatory facts.
Important Research Limitations
Information reported through Form ADV is supplied by investment advisers through regulatory filings. Reported information should not automatically be interpreted as independently verified information.
Missing information does not necessarily mean that an activity, relationship or condition does not exist. Some fields may be unavailable, not applicable, reported only as ranges or subject to differences between filing periods.
Historical adviser information should not be used as a substitute for current registration verification. Where current status is important, review the official Investment Adviser Public Disclosure record and the adviser’s latest regulatory filings.
For Research and Due Diligence — Not Investment Advice
Investment Adviser & RIA Intelligence is a regulatory research and due-diligence tool. It does not rank advisers by quality, recommend an adviser, determine whether an adviser is safe or compliant, issue legal conclusions or predict investment performance.
The presence of a disclosure, business relationship or historical change should be investigated in context and should not automatically be interpreted as evidence of misconduct.
Frequently Asked Questions
Can I search for an investment adviser by name?
Yes. The research tool is designed to support searches by adviser name and other available identifying information, including CRD number and location.
What is a CRD number?
A CRD number is an identifying number used within the Central Registration Depository system for firms and financial professionals. Where available, it provides a useful way to distinguish advisers with similar names.
Does this tool show an investment adviser’s assets under management?
Where available in the underlying regulatory data, the tool displays regulatory assets under management and may distinguish discretionary from non-discretionary RAUM.
Can I research an adviser’s private funds?
Private-fund information can be shown where supported by available Form ADV records. The amount of detail depends on the regulatory dataset currently loaded into the application.
Does a disciplinary disclosure mean an adviser committed wrongdoing?
No. A reported disclosure requires context. It may concern an allegation, regulatory event, resolved matter, affiliated organization or associated individual. Researchers should review the underlying filing and disclosure record.
Is this an official SEC website?
No. AuditingAccounting.com is independent and is not affiliated with or endorsed by the U.S. Securities and Exchange Commission. The application organizes and analyzes publicly available regulatory information for research purposes.
Can this tool confirm that an adviser is currently registered?
Historical or bulk Form ADV information alone should not be treated as proof of current registration. Current status should be verified through the official Investment Adviser Public Disclosure record.
Does this tool recommend investment advisers?
No. It provides factual research information and analytical tools. It does not provide adviser recommendations, quality scores, safety scores or investment advice.