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Website of the Week

Website of the Week Archive

October 15,  2001

U.S. Securities & Exchange Commission, Investment Adviser Public Disclosure, 

This website provides registration information on firms that provide investment advice. Such firms are registered either with the SEC or with state agencies that regulate securities. The information is based on electronically submitted Form ADV and includes the following data:

  • identifying information (business name, SEC file number, principal address and place of business, business hours, telephone and fax numbers)
  • SEC and state registration information
  • form and state of organization
  • statistical information on employees, clients, and assets
  • disciplinary actions
  • direct and indirect owners

Also included is a glossary of terms.

The current database includes information on investment firms only. In the future, it will include information on individual employees of investment adviser firms.

2008, M.G. Gallagher Law Library, University of Washington