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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
P & A Financial Securities, Inc. Buffalo NY US 2.6 
P & A Financial Strategies Inc. Buffalo NY US 0.0 
P R Kumler Investment Management 13.4 
P&A Capital Advisors New York NY US 323.2 
P&A Fund Management, Inc. New York NY US 303.2 
P-Square Investments LLC 18.8 
P. G. Earl Investment Advisers, L.L.C. Atlanta GA US 2.3 
P. J. Schmidt Investment Management, Inc Cedarburg WI US 338.3 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 168.8 
P. Schoenfeld Asset Management International LLC New York NY US 2863.0 
P. Schoenfeld Asset Management LLC New York NY US 3286.9 
P.A. Berg Retirement Solutions Brookfield WI US 3.2 
P.A.I.R. Financial Torrance CA US 0.0 
P.birk & Associates 0.0 
P.I.M., Inc. Seattle WA US 0.0 
P.J. Moran & Co., Inc. Park Ridge IL US 0.0 
P.J. O'Gorman and Associates Atlanta GA US 0.0 
P.M.W., Inc. North Palm Beach FL US 0.0 
P.W.B., Inc. 3.6 
P3 Financial Management, LLC 0.0 
P38 Enterprises, Inc. 33.3 
P5 Investment Management Inc 8.1 
Pac Capital Management, Inc Rochester Hills MI US 0.0 
Paceline Capital Advisors LLC Memphis TN US 25.0 
Paceline Financial Services, Inc. Tacoma WA US 0.0 
Pacer Advisors, Inc. Paoli PA US 0.0 
Pacesetter Financial Group, L.L.C. Lincoln IL US 25.2 
Pacha Capital Management, Co. 0.0 
Pachira Investment Management, LLC 0.0 
Pacific Advisory Group Inc Atherton CA US 136.6 
Pacific Advisory Services,Inc. Birmingham MI US 0.0 
Pacific Alternative Asset Management Co LLC Irvine CA US 16429.8 
Pacific American Securities, LLC San Diego CA US 0.0 
Pacific Asset Management Roseburg OR US 6.2 
Pacific Asset Management Group San Ramon CA US 7.8 
Pacific Asset Management, LLC Port Orchard WA US 180.1 
Pacific Capital Resource Group, Inc. Bellevue WA US 0.0 
Pacific Center For Financial Services San Ramon CA US 321.4 
Pacific Coast Financial Planners 0.0 
Pacific Coast Investment Advisors, LLC Lake Oswego OR US 40.0 
Pacific Coast Wealth Management, LLC 0.0 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Pacific Corporate Group LLC LA Jolla CA US 17503.6 
Pacific Edge Investment Management, LLC Palo Alto CA US 92.0 
Pacific Financial Advisors, Inc. Laguna Niguel CA US 85.0 
Pacific Financial Planners, Inc Yreka CA US 0.0 
Pacific Financial Planners, LLC 0.0 
Pacific Global Investment Management Co Glendale CA US 362.8 
Pacific Growth Equity Management, LLC San Francisco CA US 18.7 
Pacific Heights Asset Management, LLC San Francisco CA US 3509.9 
Pacific Horizon Investment Management LLC Seattle WA US 10.2 
Pacific Income Advisers Inc Santa Monica CA US 4358.4 
Pacific Investment Advisors LLC Portland OR US 230.8 
Pacific Investment Advisors, LLC 15.0 
Pacific Investment Advisory Lacanada CA US 17.7 
Pacific Investment Consultants, Inc 0.0 
Pacific Investment Management Company LLC Newport Beach CA US 776941.4 
Pacific Islands Financial Management, LLC Honolulu HI US 153.2 
Pacific Life Fund Advisors LLC Newport Beach CA US 40617.6 
Pacific Madrone Capital LLC San Francisco CA US 43.4 
Pacific Management Ltd San Francisco CA US 17.9 
Pacific Mountain Advisors, Inc. Scotts Valley CA US 28.2 
Pacific Northwest Asset Management, Inc. Silverdale WA US 0.0 
Pacific Park Financial, Inc. Aliso Viejo CA US 52.0 
Pacific Portfolio Consulting, LLC Seattle WA US 1065.7 
Pacific Strategic Management, LP Houston TX US 277.1 
Pacific Sun Investment Management (Hk) Ltd Admiralty Hong Kong HK 25.1 
Pacific Value, LLC Boise ID US 122.0 
Pacific Verdes Investment Advisors Inc. 18.5 
Pacific Vista Capital Encinitas CA US 14.6 
Pacific Wealth Advisors Palo Alto CA US 0.0 
Pacific Wealth Care Inc. 5.5 
Pacific Wealth Management San Diego CA US 1.5 
Pacific Wealth Strategies Group, Inc. Santa Barbara CA US 26.5 
Pacific West Financial Consultant Inc Renton WA US 603.9 
Pacific West Realty Group San Diego CA US 0.0 
Pacifica Capital Investments 116.3 
Pacifica Wealth Advisors, Inc. Mission Viejo CA US 83.3 
Pacificor, LLC Santa Barbara CA US 325.1 
Packerland Brokerage Services, Inc. Green Bay WI US 8.9 
Pacwest Financial Management Inc Phoenix AZ US 173.7 
Padgett Financial Services, LLC San Antonio TX US 10.4 
Padgett Seep and Associates 12.5 
Pageone Financial, Inc. Clifton Park NY US 89.1 
Pagliaro, James Anthony 1.5 
Painter Financial, LLC Greenville KY US 0.0 
Painter, Smith and Gorian Inc. Redlands CA US 21.8 
Pak Global Investments, LLC Omaha NE US 11.1 
Pakola, Steichen & Company Bloomington MN US 70.0 
Palace Capital Management LLC Santa FE NM US 45.5 
Palachefarrell Westlake Village CA US 0.0 
Paladin Asset Management, LLC 0.0 
Paladin Capital Management San Francisco CA US 30.1 
Paladin Capital Management, LLC Washington DC US 990.3 
Paladin Capital Partners, Inc. Irvine CA US 0.2 
Paladin Investment LLC 81.3 
Paladin Registry, Inc. Lincoln CA US 0.0 
Paladini Financial Management, Inc. Irving TX US 0.0 
Palan, David Barry 0.0 
Palantir Capital Management, Ltd. Houston TX US 63.3 
Palermo Financial Group Inc 0.0 
Pali Capital, Inc. New York NY US 0.0 
Palisade Asset Management, LLC Minneapolis MN US 128.2 
Palisade Capital Management LLC Fort Lee NJ US 2005.6 
Palisade Investment Advisors, LLC Minneapolis MN US 5.6 
Palisade Investments 20.0 
Palisades Hudson Asset Management, L.P. Scarsdale NY US 722.7 
Palisades Investment Advisors, Inc. Los Angeles CA US 0.9 
Palisades Investment Partners, LLC Santa Monica CA US 783.2 
Palisades Management LLC Pacific Palisades CA US 7.2 
Palisades Research Systems Pacific Palisades CA US 8.1 
Palisair Capital, LLC Los Angeles CA US 3.4 
Pall Mall Investment Management Limited London, England UK 1028.2 
Palladian Research, LLC New York NY US 0.0 
Palladio Capital Management, LLC Greenwich CT US 10.2 
Pallas Investment Partners, L.P. San Francisco CA US 5.7 
Palm Advisors, LLC Littleton CO US 40.1 
Palm Beach Capital Corporation Fort Smith AR US 3.6 
Palm Beach Financial Advisors, Inc. West Palm Beach FL US 22.7 
Palm Harbor Advisors LLC Boca Raton FL US 0.0 
Palmer Capital Management, Inc. Florence KY US 16.7 
Palmer Financial Planning 0.0 
Palmer Jones & Associates, Inc. 82.7 
Palmerdodge Advisors LLC Boston MA US 967.0 
Palmerston Group Advisors, L.L.C. Highland Park NJ US 12.9 
Palmerton Financial Services, LLC 2.0 
Palmetto Financial Services 0.0 
Palmwest Capital Management, LP 0.6 
Palmyra Capital Advisors, LLC Los Angeles CA US 12.1 
Palo Alto Advisors, Inc. San Mateo CA US 8.3 
Palo Alto Investors, LLC Palo Alto CA US 1048.6 
Pam USA, LLC 7.0 
Pam, LLC 0.0 
Pama Group Inc. Road Town, Tortola VG 16.7 
Pamela Ann Christensen Roseville CA US 9.6 
Pamela M. Desjardins, Financial Consultant 3.8 
Pampel & Associates Inc Monticello IN US 41.9 
Pan Amaerican Financial Advisors San Antonio TX US 7.3 
Pan Geo Investment Inc Vancouver, B.C. CA 0.0 
Panafin Financial Advisors LLC Miami FL US 0.0 
Panagora Asset Management Inc Boston MA US 12775.5 
Pandelis P. Chryssostomides Financial Services, Inc. Lancaster CA US 0.0 
Pani Bekaert Pluim & Co. LLC San Francisco CA US 2.8 
Pantera Capital Management LP San Francisco CA US 328.0 
Pantheon Investment LLC Chattanooga TN US 91.8 
Pantheon Ventures Inc. San Francisco CA US 9613.4 
Panther Asset Management, Inc. Lake Grove NY US 0.0 
Panther Financial Planning, LLC 0.3 
Paolilli & Co., LLC Westford MA US 0.1 
Paolino, William Nyack NY US 32.4 
Papalia Asset Management, Inc. Danville PA US 178.7 
Papamarkou Asset Management Incorporated New York NY US 0.0 
Papps Capital Group, Inc. New York NY US 8.0 
Par-Four Investment Management, L.L.C. Woodcliffe Lake NJ US 1089.6 
Para Advisors LLC New York NY US 239.7 
Parabolic Partners Capital Management LLC Summit NJ US 74.0 
Paracle Advisors LLC Mercer Island WA US 144.8 
Paradigm Advisors, LLC Dallas TX US 300.0 
Paradigm Advisors, LLC Knoxville TN US 0.0 
Paradigm Advisory Services LLC Glastonbury CT US 0.0 
Paradigm Asset Management White Plains NY US 799.7 
Paradigm Asset Management,Inc. Marina Del Rey CA US 25.3 
Paradigm Capital Corporation Fort Worth TX US 92.7 
Paradigm Capital Management Reno NV US 39.0 
Paradigm Capital Management Growth Advisors, Inc. Albany NY US 7.3 
Paradigm Capital Management, Inc. Albany NY US 1240.2 
Paradigm Consulting Services LLC Clifton NJ US 10000.0 
Paradigm Financial Advisors LLC Des Peres MO US 78.6 
Paradigm Financial Corporation Miami FL US 5.0 
Paradigm Global Advisors, LLC New York NY US 300.0 
Paradigm Management Services Corp. Yardley PA US 0.0 
Paradigm Money Mgt LLC 0.0 
Paradigm Wealth Advisors, LLC Des Peres MO US 46.3 
Paradigm Wealth Management, Inc. Chicago IL US 15.0 
Paragon Advisors LLC Naperville IL US 113.4 
Paragon Advisors, Inc. Shaker Heights OH US 432.7 
Paragon Advisors, LLC College Station TX US 34.8 
Paragon Asset Management Inc. Orinda CA US 32.6 
Paragon Asset Management, Ltd. Wilmette IL US 23.3 
Paragon Capital Advisors, LLC Blue Bell PA US 4.9 
Paragon Capital Advisors, LLC 13.3 
Paragon Capital Management Denver CO US 498.4 
Paragon Capital Management Smithtown NY US 54.1 
Paragon Capital Management LLC Overland Park KS US 250.2 
Paragon Financial Advisors 5.0 
Paragon Financial Advisors Newton MA US 1.0 
Paragon Financial Group Tulsa OK US 37.5 
Paragon Index LLC San Mateo CA US 14.0 
Paragon Investment Advisors LC 0.0 
Paragon Investment Management Inc Seattle WA US 1102.0 
Paragon Investment Partners, LLC Santa Barbara CA US 0.0 
Paragon Investments, Inc. Silver Lake KS US 0.8 
Paragon Portfolio Management 2.4 
Paragon Wealth Management Provo UT US 41.4 
Paragon Wealth Management, LLC Pittsburgh PA US 54.0 
Paragon Wealth Strategies, LLC. Jacksonville FL US 44.7 
Paraklete Financial, Inc. 0.0 
Parallax Asset Management Houston TX US 34.7 
Parallel Advisors, LLC San Francisco CA US 59.8 
Parametric Seattle WA US 19013.3 
Parametric Risk Advisors Westport CT US 2065.0 
Paramount Bio Capital Asset Management, Inc. New York NY US 94.0 
Paramount Capital, Inc. 0.3 
Paramount Financial Advisors Inc. King of Prussia PA US 0.0 
Paramount Financial LLC St. Louis MO US 13.0 
Paramount Investment Advisors 0.0 
Paramount Wealth Management, Inc. Jackson MI US 0.0 
Paramount Wealth Management, LLC Hopewell VA US 5.8 
Paratus Financial, Inc. Dallas TX US 300.0 
Paratus Wealth Management, LLC Bloomington MN US 4.1 
Pardus Capital Management L.P. New York NY US 706.7 
Parenteau Associates, LLC 0.0 
Pareto New York LLC New York NY US 50.0 
Pareto, Pareto Investment Management Limited London UK 32401.2 
Pargas Health Care Financial Advisors, Inc. Miami FL US 0.0 
Parhelion Group, LLC 0.2 
Parish & Company LLC Portland OR US 67.2 
Pariter Wealth Management Group LLC Guaynabo US 37.0 
Pariveda Investment Management Menlo Park CA US 16.6 
Park Avenue Securities LLC Bethlehem PA US 2278.0 
Park Avenue Wealth Management, LLC Livonia MI US 0.0 
Park Piedmont Advisors LLC Edgewater NJ US 263.6 
Park Place Capital Limited London UK 298.9 
Park Place Financial Advisors, LLC Brattleboro VT US 0.0 
Park Place Financial Group Allen Park MI US 1.5 
Park Place Wealth Advisors, Inc Orinda CA US 0.0 
Park Shore Partners LLC Naples FL US 15.0 
Park South Securities, LLC New York NY US 125.5 
Park Street Capital Advisers, L.L.C. Boston MA US 581.7 
Park, Miller, LLC Walnut Creek CA US 82.6 
Parkcentral Capital Management, L.P. Plano TX US 497.0 
Parke Investment Management, Inc. 5.7 
Parker & Associates, LLC St. Joseph MO US 0.0 
Parker Allen & Company, Inc. New York NY US 17.9 
Parker Capital Management Inc Boston MA US 72.7 
Parker Capital Management, Inc. Denver CO US 0.4 
Parker Carlson & Johnson Dayton OH US 125.0 
Parker Financial Advisors Houston TX US 44.4 
Parker Financial Insurance Services 5.2 
Parker Financial LLC Silverdale WA US 1.5 
Parker Financial Planning, LLC Mystic CT US 19.4 
Parker Financial Planning, LLC 0.0 
Parker Financial, LLC LA Plata MD US 3.5 
Parker Global Strategies LLC Stamford CT US 697.5 
Parker/Rentz Financial Advisors, LLC 0.0 
Parklane Investments, Inc. 0.6 
Parkman Shaw & Co., Inc. 25.5 
Parkway Advisors, L.P. Abilene TX US 640.4 
Parkway Wealth Management, LLC Thomasville GA US 51.2 
Parlan Financial Corp Toledo OH US 39.4 
Parlin Investments LLC Summit NJ US 12.4 
Parnassus Investments San Francisco CA US 1292.5 
Parr Financial Group, LLC Memphis TN US 17.5 
Parrish Money Management Newark DE US 0.0 
Parsec Financial Management, Inc Asheville NC US 749.7 
Parsons Asset Management, Inc. Katonah NY US 82.6 
Parsons Capital Management Inc Providence RI US 578.5 
Parsons Capital Management, LLC Lebanon NJ US 73.9 
Parsons Financial Advisors Half Moon Bay CA US 0.0 
Parthenon LLC Louisville KY US 378.0 
Partner Advisory Services, L.P. San Francisco CA US 155.8 
Partner Capital Group, LLC Nashville TN US 0.0 
Partner Connections, LLC Brea CA US 0.0 
Partner Fund Management, L.P. San Francisco CA US 2437.1 
Partner Fund Management, L.P. San Francisco CA US 1362.3 
Partner Investment Management, L.P. San Francisco CA US 975.7 
Partners Advisors Houston TX US 4.6 
Partners Capital Investment Group, LLC Boston MA US 2434.9 
Partners Capital Management, Inc. Colorado Springs CO US 0.0 
Partners Capital Management, Inc. Spokane WA US 28.9 
Partners Capital Services, Inc. Hauppauge NY US 0.8 
Partners Group New York NY US 219.5 
Partners Group Real Estate, LLC San Francisco CA US 897.0 
Partners in Financial Counseling Denver CO US 16.9 
Partners in Financial Planning, Inc. Edmond OK US 0.0 
Partnership Financial, LLC 0.0 
Partnersinwealth, Inc Houston TX US 96.6 
Partnervest Advisory Services LLC Santa Barbara CA US 535.6 
Pasadena Capital Advisors LLC 0.0 
Pasadena Capital Management Pasadena CA US 0.0 
Pascal Financial Services, LLC 0.0 
Pascal Management LLC 0.6 
Paschal Capital Advisors Inc. 0.0 
Pasco Investment Advisors Inc Westfield NJ US 85.7 
Pash & Benson International Ltd. Encino CA US 0.0 
Pashadre Capital Management, Inc Weymouth MA US 13.0 
Paskin & Kahr Capital Management LLC San Francisco CA US 403.0 
Pasnau Investment Management, Inc. New Milford CT US 8.0 
Pasqua Wealth Management Eden Prairie MN US 26.7 
Pasqua, Cpa Hopewell Jct NY US 4.8 
Passage Global Capital Management, LLC Bettendorf IA US 6.5 
Passante Associates LLC Highland NY US 86.8 
Passive Capital Management, LLC Syracuse NY US 72.0 
Passive Momentum Asset Advisors 13.5 
Passport Capital, LLC San Francisco CA US 192.6 
Passport Management, LLC San Francisco CA US 2290.4 
Passport Research, Ltd. Pittsburgh PA US 23263.8 
Pastore Capital Management 1.3 
Pasztor & Associates 6.6 
Patap Financial Services 17.3 
Patara Capital Management, LP Dallas TX US 0.0 
Patara Partners, LP Dallas TX US 9.5 
Path Capital Management, LLC 1.9 
Path Financial, LLC Sarasota FL US 5.0 
Pathfinder Advisory, Inc. Rockford IL US 37.2 
Pathfinder Financial Advisors LLC 0.0 
Pathfinder Financial Services, LLC 9.2 
Pathway Capital Management LLC Irvine CA US 10165.2 
Pathway Financial Advisors LLC Parsippany NJ US 0.0 
Pathway Financial Advisors, LLC Burlington VT US 111.8 
Pathway Financial Services 0.0 
Pathway Planning Inc Brookhaven MS US 2.2 
Pathway Wealth Management, Inc. 1.4 
Pathways Advisory Group, Inc. Fresno CA US 59.2 
Pathways Financial 5.8 
Pathways Financial Partners,Inc. Tucson AZ US 121.6 
Pathways TO Wealth, LLC 0.0 
Patricia A. Brooks, Cfp Methuen MA US 0.0 
Patricia A. Heath & Associates, Inc. Northfield IL US 36.9 
Patricia E. Howe, Registered Investment Advisor, LLC Seattle WA US 4.6 
Patricia K. Hofmeister, Cpa, Inc. Mo. Valley IA US 3.0 
Patrick Becker Agency Caledonia MN US 2.8 
Patrick Capital Management Batavia IL US 0.0 
Patrick Financial Group LLC. Brighton MI US 0.0 
Patrick J. Mcdonald 0.0 
Patrick M. Sweeney & Associates, Inc Barrington IL US 30.5 
Patrick Mauro Investment Advisor, Inc., Inc. 28.4 
Patrick Money Management Co. Hamilton OH US 8.5 
Patrick W. Svrcek Financial Services Houston TX US 2.7 
Patriot Advisory Group North Hampton NH US 12.5 
Patriot Enterprises LLC 0.5 
Patriot Investment Management Group Inc Knoxville TN US 178.4 
Patriot Mullare Associates Hingham MA US 34.0 
Patriot Wealth Management, Inc. Houston TX US 498.5 
Patronus Advisors Dallas TX US 25.2 
Patronus Capital Management Fort Lauderdale FL US 0.0 
Patten and Patten, Inc. Chattanooga TN US 770.5 
Patten Investment Advisors Inc Medford OR US 39.1 
Pattern Recognition Management, Inc. Ann Arbor MI US 7.0 
Patterson & Associates Austin TX US 3356.9 
Patterson Advisers,Inc 0.0 
Patterson Advisors 0.0 
Patterson Financial Company Warren MI US 0.0 
Patton Albertson & Miller LLC Macon GA US 254.2 
Patton Fund Management, Inc. Indianapolis IN US 28.2 
Patton Investments, LLC 0.5 
Patuxent Capital Advisors, Inc. 0.0 
Patuxent Financial Group LLC Ellicott City MD US 0.0 
Patuxent Financial Planning, LLC 3.5 
Paul A. Thomas, Farpoint Advisors Abilene TX US 0.0 
Paul Capital Investments San Francisco CA US 455.5 
Paul Capital Partners San Francisco CA US 1.7 
Paul Capital Partners San Francisco CA US 215.6 
Paul Capital Partners San Francisco CA US 0.0 
Paul Capital Partners San Francisco CA US 5049.0 
Paul Comstock Partners Houston TX US 1143.2 
Paul D. Bell & Associates 0.0 
Paul D. Sonz Partners Napa CA US 15.8 
Paul Fair Associates, LLC Wyomissing PA US 9.0 
Paul Financial Services Inc Burlington VT US 51.0 
Paul G. Guidry A.D.B.A. Olsen & Guidry, LLC Gretna LA US 5.0 
Paul Gehl 0.0 
Paul J. Jackson & Associates, Ltd. Newton MA US 1.9 
Paul J. Staffaroni, Cpa 0.0 
Paul Joseph Bednarski, A Sole Proprietor 0.0 
Paul M. Maffia 0.0 
Paul Manners & Associates, Inc. Atlanta GA US 272.8 
Paul R Christie, C.P.A. 6.2 
Paul R. Kopey & Associates 3.5 
Paul R. Williams Investment Advisor Thousand Oaks CA US 0.0 
Paul T. Aronson Investment Counselor 13.6 
Paul Terence Kohler Financial Solutions,LLC Media PA US 11.2 
Paul W. Gillis, Jr. 0.1 
Paul W. Mann 2.0 
Paul Winkler, Inc. Goodlettsville TN US 0.0 
Paula Gomez, Cfp Aptos CA US 0.0 
Pauley Financial Services, Inc. Round Rock TX US 25.4 
Paulo Financial Advisors, LLC Staten Island NY US 14.7 
Paulson & Co.inc. New York NY US 17679.7 
Paulson Investment Company, Inc. Portland OR US 66.7 
Paulson Management LLC New York NY US 17332.4 
Pavan Capital, LLC Westlake Village CA US 15.8 
Pavlic Investment Advisors, Inc. Delafield WI US 38.9 
Pax World Management Corp. Portsmouth NH US 1909.8 
Payant Financial Services, Inc. Sun City Center FL US 31.5 
Payden & Rygel Los Angeles CA US 40343.0 
Payden/Kds Investment Advisers LLC Los Angeles CA US 12.5 
Payne Capital Management, Inc. 3.1 
Payne Capital Management, LLC New York NY US 125.8 
Payne Financial Consulting Foster City CA US 0.0 
Payne Financial Management, L.L.C. Atlanta GA US 7.0 
Payne Wealth Partners, Inc. Evansville IN US 185.6 
Payne, Groskreutz & Schmidt Kankakee IL US 0.0 
Paypal Asset Management, Inc. San Jose CA US 650.0 
Paysse Jennison, Inc. Mercer Island WA US 26.1 
Payton Capital Management LLC Chatham NJ US 20.7 
Pazera Capital Management, Inc. Rockport TX US 0.0 
Pbgh Financial Advisors, Inc. Fredericksburg VA US 38.5 
Pbl Capital Dallas TX US 501.6 
Pbs Consulting Asheville NC US 0.0 
           
 
A Registered Investment Advisor manages assets, makes portfolio composition and individual security selection decisions for a fee, often a percentage of assets invested.

The SEC regulates investment advisors that have over $25 million in assets under management. Investment advisors that do not meet this threshold are generally regulated by the state securities agency in the state where they have their principal place of business. This website provides information about both SEC- and state-registered investment advisor firms.

Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations.
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