* ADV form
(Investment adviser)--Available in a special part of the site (sec.gov/fast-answers/answersformadvhtm.html); contains two parts:
reported assets under management of $5.55 billion on its most recent ADV form
, which was filed with the SEC last month.
And if they default, they will need to disclose this on their ADV form
if an RIA, and possibly on their U4 if a registered rep.
Most of the states require completion of the ADV form
or their own version of the ADV form
; most also have an exam requirement and a filing fee.
The list uses data from the companies' ADV forms
filed with the SEC, which registered investment advisers file pretty much whenever they want.