November 17, 2023. Investment Adviser Firm Summary. Clark Brothers Investments manages $20. Find out if they. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. 1 million and provides investment advisory services for 965 clients (1:241 advisor/client ratio). Generational Wealth Management manages $208. Written by investor. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. You can search for an investment adviser firm, view its Form ADV filing, check its registration status, and link to its state regulator's website or FINRA BrokerCheck. 5 billion and provides investment advisory services for 5,420 clients (1:51 advisor/client ratio). About this Feature. Are you looking for information on individual investment advisers who are registered with the SEC or state securities regulators? Use the IAPD website to search by name, location, or credentials and find out their background, qualifications, and disciplinary history. November 17, 2023. Part 2 of Form ADV requires investment. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. November 17, 2023. Wheelhouse Advisory Group manages $120. Type a financial professional’s name in the box and you will be re-directed to the Investor Adviser Public Disclosure (IAPD) website. If the adviser is not already displayed on the IAPD website (i. Baystate Wealth Management, registered in 2010, serves 31 state (s) with a licensed staff of 6 advisors. 3 million and provides investment advisory services for 68 clients (1:8 advisor/client ratio). Branch Office Any location identified by any means to the public or clients as a location at which an investment adviser firm conducts. Lord, Abbett & Co. Regulation of Investment Advisers: Outline and Staff Views. Welcome to the IARD TM website. Camelot Wealth Management manages $30. Missionsquare Retirement manages $641. 5 million and provides investment advisory services for 400 clients (1:100 advisor/client ratio). Traynor Capital Management Review. This Brochure provides information about the qualifications and business practices of Shufro, Rose & Co. You can search for an investment adviser firm, view its Form ADV filing, check its registration status, and link to its state regulator's website or FINRA BrokerCheck. Are you looking for information on investment adviser firms regulated by the SEC and/or state securities regulators? IAPD is a free online tool that lets you search for investment advisers by name, location, or keyword. Strait & Sound Review. Commonwealth Financial Network, registered in 1992, serves 53 state (s) with a licensed staff of 3,150 advisors. Written by investor. Camelot Wealth Management manages $30. Written by investor. Marble Trail Advisors, registered in 2019, serves 7 state (s) with a licensed staff of 5 advisors. IAPD reports for individual representatives include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. Detterbeck Wealth Management, registered in 2017, serves 5 state (s) with a licensed staff of 2 advisors. Below are the states with which the firm you selected makes its notice filings. Empirical Wealth Management, registered in 2011, serves 36 state (s) with a licensed staff of 43 advisors. Search your investment professional's background and see if they're registered in the Investment Adviser Public Disclosure (IAPD) website. Information for Newly-Registered Investment Advisers. LPL Financial Review. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. 880 Carillon Parkway // St. Dec 19, 2023 · IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. Below are the states with which the firm you selected makes its notice filings. Bollinger Capital Management, registered in 1988, serves 1 state (s) with a licensed staff of 2 advisors. GKFO, registered in 2009, serves 4 state (s) with a licensed staff of 5 advisors. Osaic Wealth Review. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Arkadios Wealth Advisors Review. November 17, 2023. #8 Is the CFP Board the financial institution. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term. 2 billion and provides investment advisory services for 5,191 clients (1:185 advisor/client ratio). Strait & Sound manages $178. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. Each month, investor. Steward Partners Investment Advisory, registered in 2016, serves 51 state (s) with a licensed staff of 266 advisors. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Once an adviser establishes an IARD account, the adviser can access Form ADV (Part 1) on IARD, complete this part of Form ADV, and submit it electronically through IARD. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Lord, Abbett & Co. 4 million and provides investment advisory services for 445 clients (1:45 advisor/client ratio). For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. 4 million and provides investment advisory services for 1,214 clients (1:81 advisor/client ratio). Written by investor. Transamerica Financial Advisors Review. PAX Financial Group manages $494. Written by investor. The Watchman Group, registered in 2005, serves 8 state (s) with a licensed staff of 4 advisors. 0 billion and provides investment advisory services for 1,266 clients (1:97 advisor/client ratio). You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Strategic Financial Partners, registered in 2012, serves 6 state (s) with a licensed staff of 6 advisors. Crosspoint Financial, registered in 2022, serves 2 state (s) with a licensed staff of 1 advisors. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. It is important to note that the information contained in an IAPD report may include pending actions or allegations. Form ADV is the form used by investment adviser firms to register with the SEC and state securities regulators. Information concerning investment advisers that are no longer registered with the SEC or states is made available on IAPD for ten years after the adviser is no longer registered. Apex Financial Services manages $27. also is available on the SEC’s website at www. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Empirical Wealth Management, registered in 2011, serves 36 state (s) with a licensed staff of 43 advisors. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Empirical Wealth Management Review. Written by investor. Below are the states with which the firm you selected makes its notice filings. Triangle Wealth Management Review. November 17, 2023. 1 million and provides investment advisory services for 262 clients (1:66 advisor/client ratio). com downloads the latest regulatory data from the SEC IAPD database. Detterbeck Wealth Management manages $224. You can also view their Form ADV, which contains important information about their business, services, fees, and conflicts of interest. Learn how to check out brokers and investment advisers using Investor. and the SEC’s website at www. Complete this Item 2. Prospera Financial Services, registered in 2006, serves 53 state (s) with a licensed staff of 190 advisors. Market Gauge Asset Management, registered in 2015, serves 3 state (s) with a licensed staff of 3 advisors. NFP Retirement Review. This Brochure provides information about the qualifications and business practices of Shufro, Rose & Co. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Bollinger Capital Management manages $32. November 17, 2023. The adviser's REGISTRATION status is listed below. These filings are called "notice filings". Written by investor. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. Brite Advisors USA, registered in 2013, serves 27 state (s) with a licensed staff of 9 advisors. 5 billion and provides investment advisory services for 5,420 clients (1:51 advisor/client ratio). For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. On that date, advisers will be able to submit filings, including amendments to Form ADV. Written by investor. Download the Investment Adviser Information Reports that contain information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC. May 22, 2012 · Investment Adviser Regulation. 3d 392 (D. Crosspoint Financial manages $105. Detterbeck Wealth Management manages $224. It consists of two parts, both of which are available to the. A registered investment adviser ( RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. Written by investor. 2 million and provides investment advisory services for 541 clients (1:68 advisor/client ratio). Alaska Wealth Advisors manages $706. Item 2. Ascend Investment Management, registered in 2020, serves 1 state (s) with a licensed staff of 1 advisors. Investment Adviser Registration and Reporting Forms (Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W) (202) 551-6999 | E-mail: IARDLIVE@sec. The document explains the background, objectives, and economic analysis of the rule, as well as the responses to public. Oct 12, 2017 · Please be advised that the Investment Adviser Registration Depository (IARD) system will be open on Sunday, March 31, 2019, from 10am-6pm Eastern Time. Arkadios Wealth Advisors manages $1. Blackwood Investment Group, registered in 2006, serves 1 state (s) with a licensed staff of 1 advisors. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. November 1, 2023. Penney Financial manages $134. Written by investor. Investment Adviser Data Investment Adviser Firm Reports SEC Investment Advisers. Advisers that do not meet this threshold generally are regulated by the states. IAPD reports for individual representatives include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. Type a financial professional’s name in the box and you will be re-directed to the Investor Adviser Public Disclosure (IAPD) website. Written by investor. When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the IAPD report. Reports filed by exempt reporting advisers are deemed filed once accepted by the IARD system. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. Written by investor. An investment adviser public disclosure can provide information to help you make a more informed decision about a company, such as its disciplinary record and financial stability. Written by investor. This section includes information, if any, as provided by the representative regarding other business activities the representative. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Find out if they have ever been in trouble with securities regulators or named in SEC court actions. The new rules and amendments are designed to protect private fund investors by increasing. If the SEC staff determines that an adviser has not supplied all. Sections 203 and 204 of the Advisers Act [15 U. Material Changes ii BlackRock Limited Item 2. Washington Investment Network, 475 F. Written by investor. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Investment Adviser Firm Summary. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. It contains information about an investment adviser firm and its business operations, including business practices, conflicts of interest, and fees. The rule replaces the existing advertising and cash solicitation rules and introduces new definitions, requirements, and prohibitions. SUPPLEMENTARY INFORMATION: The Commission is proposing for public comment amendments to 17 CFR 275. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. SEC Releases on IARD, the Revised Form ADV, and Form PF. Written by investor. Part 2 of Form ADV requires investment. The dividends in the ETF are distributed to. The IAPD Program provides information about both SEC- and state-registered investment adviser firms. Written by investor. VAN Clemens Wealth Management manages $25. PKS Investment Advisors manages $149. Apex Financial Services manages $27. Additionally, you may contact the Division of Investment Management’s Office of Chief Counsel at (202) 551-6825. , it is not an exempt reporting adviser (“ERA”) or a state-registered adviser), and the adviser’s registration is approved, the adviser generally will be included the next business day on the IAPD website. Feb 14, 2012 · The SEC’s IAPD Program. Written by investor. Written by investor. Written by investor. For frequently asked questions concerning Form ADV and IARD, please see: Form ADV/IARD FAQs. Financial Futures Review. When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the IAPD report. Wealth-builders Review. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. Delphi Wealth Management, registered in 2020, serves 1 state (s) with a licensed staff of 1 advisors. Singer Wealth Management, registered in 2019, serves 1 state (s) with a licensed staff of 2 advisors. VII Capital Management, registered in 2017, serves 3 state (s) with a licensed staff of 2 advisors. also is available on the SEC’s website at www. November 17, 2023. Commission ("SEC") or by any state securities authority. Singer Wealth Management, registered in 2019, serves 1 state (s) with a licensed staff of 2 advisors. Market Gauge Asset Management manages $74. These filings are called "notice filings". Investor Bulletin: Form ADV-Investment Adviser Brochure and Brochure Supplement. Davidson & Co, registered in 1994, serves 51 state (s) with a licensed staff of 586 advisors. Written by investor. The document explains the background, objectives, and economic analysis of the rule, as well as the responses to public. The SEC staff takes the position. The brochure supplements are available on the IAPD website, where investors can compare the disclosure of different investment advisers. Eagle Investment Advisors, registered in 2020, serves 1 state (s) with a licensed staff of 2 advisors. A: A registered investment adviser’s most recently-filed Form ADV is available on IAPD (https://adviserinfo. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. 2 billion and provides investment advisory services for. November 17, 2023. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term. SEC uses GovDelivery to send e-newsletters, alerts and other messages to visitors who subscribe to them. 3 billion and provides investment advisory services for 7,118 clients (1:32 advisor/client ratio). 2 million and provides investment advisory services for 77 clients (1:77 advisor/client ratio). If the SEC staff determines that an adviser has not supplied all. ( CRD # 159035/SEC#:801-72795 ) SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. Over the same period, the number of private funds managed by SEC registered advisers has increased 40% to approximately 50,000. It is important to note that the information contained in an IAPD report may include pending actions or allegations. 3 million and provides investment advisory services for 271 clients (1:90 advisor/client ratio). You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Chappelwood Financial Services manages $74. November 17, 2023. These filings are called "notice filings". November 17, 2023. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Marble Trail Advisors Review. Columbia Management Investment Advisers manages $388. November 17, 2023. It also contains disclosures about certain disciplinary events, if any, involving the. L Euronext Amsterdam IAPD EUR 12/Jul/2006 B18YF94 IAPD NA IAPD. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. 8 million and provides investment advisory services for 2,170 clients (1:145 advisor/client ratio). You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. IAPD Report Julia Ann Finnicum Section Title Report Summary Qualifications Registration and Employment History CRD# 3071345 1 2 - 4 5 Page(s) Please be aware that fraudsters may link to Investment Adviser Public Disclosure from phishing and similar scam websites, trying to steal your personal information or your money. Raymond James & Associates, Inc. Lord, Abbett & Co. The SEC’s IAPD Program. Cannell & CO Review. November 17, 2023. You may submit a question by email to IMOCC@sec. Raymond James & Associates, Inc. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. Below are the states with which the firm you selected makes its notice filings. The email subscriber lists are password-protected by GovDelivery. Written by investor. The document explains the background, objectives, and economic analysis of the rule, as well as the responses to public. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. Written by investor. Collins Wealth Management manages $1. ROCKEFELLER CAPITAL MANAGEMENT ( CRD # 294197/SEC#:801-113009 ) ROCKEFELLER & CO. Written by investor. Strait & Sound, registered in 2020, serves 7 state (s) with a licensed staff of 7 advisors. Below are the states with which the firm you selected makes its notice filings. Below are the states with which the firm you selected makes its notice filings. Compliance Info. If the SEC staff determines that an adviser has not supplied all. Investor Bulletin: Form ADV-Investment Adviser Brochure and Brochure Supplement. November 17, 2023. Written by investor. These filings are called "notice filings". IAPD reports for individual representatives include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. 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The adviser's REGISTRATION status is listed below. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Below are the states with which the firm you selected makes its notice filings. Simple Wealth Review. Bollinger Capital Management, registered in 1988, serves 1 state (s) with a licensed staff of 2 advisors. It also contains disclosures about certain disciplinary events, if any, involving the. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. November 17, 2023. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. As mentioned in the "About IAPD" section on page 1 of this report, information contained in IAPD comes from Investment Adviser Representatives, firms and regulators. First Horizon Advisors, registered in 2013, serves 37 state (s) with a licensed staff of 224 advisors. Written by investor. 8 billion and provides investment advisory services for 8,782 clients (1:63 advisor/client ratio). IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. These filings are called "notice filings". Missionsquare Retirement, registered in 1983, serves 51 state (s) with a licensed staff of 182 advisors. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public. Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. November 17, 2023. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Below are the states with which the firm you selected makes its notice filings. North American Securities Administrators Association. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. 7 million and provides investment advisory services for. Greenspring Advisors manages $6. The Information has not been submitted to, nor received approval from, the US SEC or any other regulatory body. You can view a SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered investment adviser's most recent Form ADV online by visiting the Investment Adviser Public Disclosure (IAPD) (www. November 17, 2023. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Simple Wealth manages $53. 8 million and provides investment advisory services for 176 clients (1:25 advisor/client ratio). November 17, 2023. A Better WAY Financial Review. Dec 13, 2023 · Our searchable database of U. GKFO manages $612. Written by investor. View latest Form ADV filed Part 2. 2 billion and provides investment advisory services for 1,776 clients (1:41 advisor/client ratio). The adviser's REGISTRATION status is listed below. Peak Retirement Planning, registered in 2021, serves 2 state (s) with a licensed staff of 3 advisors. LIDO ( CRD # 269866/SEC#:801-100433 ) COLORADO FINANCIAL MANAGEMENT, A LIDO COMPANY, OAKHURST STRATEGIES, LLC, LIDO ADVISORS, LLC, LIDO ADVISORS, LIDO. Sage Investment Advisers Review. 11 RDM Infodustries, Inc. Written by investor. 9 billion and provides investment advisory services for 78,463 clients (1:793 advisor/client ratio). Polley Wealth Management, registered in 2019, serves 1 state (s) with a licensed staff of 4 advisors. Written by investor. Your search results will only include individuals charged in SEC actions filed between October 1, 1995 and September 30, 2023. Cannell & CO manages $3. Dynamic Wealth Advisors manages $3. Precision Financial Services manages $267. View latest Form ADV filed Part 2 Brochures Part 3 Relationship Summary. IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. First Horizon Advisors, registered in 2013, serves 37 state (s) with a licensed staff of 224 advisors. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. View latest Form ADV filed Part 2 Brochures Part 3 Relationship Summary. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. Aegis Wealth Management, registered in 2019, serves 20 state (s) with a licensed staff of 28 advisors. Diversified Financial Advisors manages $381. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Instruction 10 to Form ADV specifies the type of information that must be corrected promptly, and the type that must be corrected within ninety days of the end of the adviser's fiscal year. Instruction 10 to Form ADV specifies the type of information that must be corrected promptly, and the type that must be corrected within ninety days of the end of the adviser's fiscal year. Investment Adviser Firm Summary. First Horizon Advisors manages $11. Written by investor. Written by investor. Cloverfields Capital Group Review. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Compliance Info. An investment adviser public disclosure can provide information to help you make a more informed decision about a company, such as its disciplinary record and financial stability. November 17, 2023. ADVANCED WEALTH STRATEGIES GROUP, SIMPLEVISOR, RIA ADVISORS, NTBD ADVISORS, LLC, CLARITY FINANCIAL, LLC. FOR FURTHER INFORMATION CONTACT: Olawalé Oriola, Senior Counsel;. Written by investor. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. These filings are called "notice filings". Dixon Financial Services, registered in 1992, serves 2 state (s) with a licensed staff of 4 advisors. Filing Form ADV is mandatory for advisers who are. November 17, 2023. Precision Financial Services manages $267. 2023+SEC Brochure+ 2 1. Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. 1 million and provides investment advisory services for. You can also view their Form ADV, which contains important information about their business, services, fees, and conflicts of interest. only if you are applying for SEC registration or submitting an annual updating amendment to your SEC registration. Wall Capital Group, registered in 1992, serves 3 state (s) with a licensed staff of 4 advisors. GKFO manages $612. SUPPLEMENTARY INFORMATION: The Commission is proposing for public comment amendments to 17 CFR 275. Wright argues that context is everything and that advertising on its own does that create harm. Below are the states with which the firm you selected makes its notice filings. IAPD: Investment Adviser Public Disclosure Website (Background Information)" Investment Adviser Forms. 0 billion and provides investment advisory services for 528 clients (1:31 advisor/client ratio). Information on Broker-Dealers 1. The SEC will mail an Effective Order to an adviser once an adviser's registration is declared effective. Written by investor. Keystone Financial Group, registered in 2014, serves 18 state (s) with a licensed staff of 28 advisors. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. Below are the states with which the firm you selected makes its notice filings. 1 million and provides investment advisory services for 965 clients (1:241 advisor/client ratio). You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. Written by investor. When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the IAPD report. November 17, 2023. RIA ADVISORS ( CRD # 150661/SEC#:801-77832 ) Show All 6. 7 million and provides investment advisory services for 631 clients (1:23 advisor/client ratio). November 17, 2023. IAPD - Investment Adviser Public Disclosure - Homepage IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators. Written by investor. Written by investor. 5 million and provides investment advisory services for 835 clients (1:20 advisor/client ratio). November 17, 2023. Stifel Independent Advisors manages $2. Spectrum Financial Resources, registered in 2022, serves 1 state (s) with a licensed staff of 6 advisors. November 17, 2023. Transamerica Financial Advisors Review. Written by investor. For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data. WR Wealth Planners, registered in 2020, serves 20 state (s) with a licensed staff of 15 advisors. November 17, 2023. 5 million and provides investment advisory services for 27 clients (1:27 advisor/client ratio). Blackwood Investment Group manages $3. November 17, 2023. . pokemon serena nude