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IARD

Trading Term

The Investment Adviser Registration Depository (IARD) is an electronic filing system for Investment Advisers sponsored by the Securities and Exchange Commission (SEC) and North American Securities Administrators Association (NASAA), with FINRA serving as the developer and operator of the system. The IARD collects and maintains the registration, reporting and disclosure information of Investment Advisers and their associated persons. The IARD also system supports electronic filing of the revised Forms ADV and ADV-W, centralized fee and form processing, regulatory review, the annual registration renewal process, and public disclosure of Investment Adviser information. IARD has three objectives:

  • Create a regulatory system for Investment Advisers to improve overall regulation of advisers.
  • Make information about Investment Advisers available to the public.
  • Provide Investment Advisers an efficient automated filing system.

For more information, see the IARD website at http://www.iard.com.

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