Investment Adviser Public Disclosure and Form ADV Data

Form ADV Schedule A/B identifies adviser-firm owners/control people with legal name, title/status, ownership code, control indicator, status acquired, CRD, and FilingID; filing metadata pins the reported control structure.

Form ADV Schedule A/B full files identify owner/control persons and entities with legal name, OwnerID, ownership code, control indicator, status, and FilingID within adviser scope.

IAPD individual compilations report current employer, employment history with from/to dates, and prior registered organisations with registration begin/end dates; organisation IDs and report generation time pin identity and as-of.

Form ADV affiliation schedules disclose named affiliates and control, controlled, or common-control basis pinned by FilingID; coverage is adviser-limited.

Public Form ADV Schedule A/B files can be joined and searched by owner name/OwnerID to identify adviser organisations, ownership code, control indicator, title/status, and filing context within adviser scope.

IAPD individual compilations expose regulatory, civil-judicial, and criminal disclosure indicators; Form ADV regulatory DRPs add filed-against identity, case/authority, initiation/resolution dates, status, and sanctions.

Public Form ADV Schedule A/B full files can be joined and searched by owner name or OwnerID across adviser organisations and return legal name, title/status, ownership code, control indicator, and FilingID. The result is limited to the adviser-reporting universe and preserves each organisation-side role.

Form ADV civil-judicial DRPs identify reportable investment-related proceedings against advisory affiliates with court, filed-against identity, filing date, allegations, status, resolution date, and summary; not a comprehensive court index.

Form ADV criminal DRPs identify reportable proceedings against advisory affiliates with court, filed-against identity, first-charge date, event detail, disposition, status, and status date; not a comprehensive criminal search.

Form ADV civil DRPs identify reportable proceedings filed against adviser firms/affiliates with court, filing date, allegations, status, resolution date, and summary. This is a limited official litigation slice.