Does the Investment Adviser Public Disclosure (IAPD) program include information about individual investment adviser representatives?
Yes. Among other changes ushered in with software release 2010.2 on June 28, 2010, was the expansion of the IAPD system to include information about individual investment adviser representatives. IAPD provides information regarding an individuals professional background and conduct including current registrations, employment history, and disclosures about certain disciplinary events involving the individual. View the IAPD website for additional information.
Related Questions
- Is a solicitor required to provide a client with a separate written solicitor disclosure when the registered investment adviser firm gives impersonal advisory services?
- Will investment adviser representatives be included in the Investment Adviser Public Disclosure (IAPD) program with Release 4.0, which was implemented March 18, 2002?
- Should there be a specific disclosure within the Form ADV if a registered investment adviser pays a referral fee to a third-party solicitor?
