Investment Adviser Registration Depository
E123933
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
All labels observed (2)
| Label | Occurrences |
|---|---|
| Investment Adviser Registration Depository canonical | 3 |
| Investment Adviser Registration Program | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T1064484 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Investment Adviser Registration Depository Context triple: [Central Registration Depository, relatedTo, Investment Adviser Registration Depository]
-
A.
Investment Advisers Act of 1940
The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
-
B.
Securities and Exchange Commission
The Securities and Exchange Commission is the U.S. federal agency responsible for regulating securities markets, enforcing securities laws, and protecting investors.
-
C.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
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D.
Division of Enforcement of the SEC
The Division of Enforcement of the SEC is the U.S. Securities and Exchange Commission’s primary investigative and prosecutorial arm responsible for pursuing violations of federal securities laws and protecting investors.
-
E.
Office of Financial Markets
The Office of Financial Markets is a U.S. Treasury Department office responsible for overseeing and advising on the functioning, regulation, and stability of domestic and global financial markets.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Investment Adviser Registration Depository Target entity description: The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
A.
Investment Advisers Act of 1940
The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
-
B.
Securities and Exchange Commission
The Securities and Exchange Commission is the U.S. federal agency responsible for regulating securities markets, enforcing securities laws, and protecting investors.
-
C.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
-
D.
Division of Enforcement of the SEC
The Division of Enforcement of the SEC is the U.S. Securities and Exchange Commission’s primary investigative and prosecutorial arm responsible for pursuing violations of federal securities laws and protecting investors.
-
E.
Office of Financial Markets
The Office of Financial Markets is a U.S. Treasury Department office responsible for overseeing and advising on the functioning, regulation, and stability of domestic and global financial markets.
- F. None of above. chosen
Statements (49)
| Predicate | Object |
|---|---|
| instanceOf |
electronic filing system
ⓘ
regulatory information system ⓘ |
| abbreviation | IARD ⓘ |
| accessibleTo |
general public
ⓘ
investment adviser firms ⓘ regulators ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| dataType |
business practice information
ⓘ
conflicts of interest disclosures ⓘ disciplinary information ⓘ fee and compensation disclosures ⓘ ownership information ⓘ registration information ⓘ |
| goal |
enhance investor protection through disclosure
ⓘ
improve transparency of investment adviser information ⓘ streamline investment adviser registration process ⓘ |
| hasComponent |
firm filing interface
ⓘ
public disclosure website ⓘ regulator-only interface ⓘ |
| jurisdiction |
federal securities regulation in the United States
ⓘ
state securities regulation in the United States ⓘ |
| language | English ⓘ |
| operator | Financial Industry Regulatory Authority ⓘ |
| operatorAbbreviation | FINRA ⓘ |
| purpose |
facilitate registration of investment advisers
ⓘ
facilitate regulatory filings by investment advisers ⓘ support public disclosure of information about investment advisers ⓘ |
| regulatorType | self-regulatory organization operated system ⓘ |
| regulatoryDomain |
investment adviser disclosure
ⓘ
investment adviser registration ⓘ investment adviser regulation ⓘ |
| relatedTo | Central Registration Depository ⓘ |
| relatedToAbbreviation | CRD ⓘ |
| sector | securities regulation ⓘ |
| supports |
centralized storage of adviser records
ⓘ
electronic payment of regulatory fees ⓘ electronic submission of regulatory filings ⓘ |
| supportsFilingOf |
Form ADV
ⓘ
Form U4 ⓘ Form U5 ⓘ amendments to Form ADV ⓘ annual updating amendments ⓘ |
| usedBy |
Financial Industry Regulatory Authority
ⓘ
Securities and Exchange Commission ⓘ
surface form:
U.S. Securities and Exchange Commission
investment adviser representatives ⓘ investment advisers ⓘ securities regulators ⓘ state securities regulators ⓘ |
| usedByAbbreviation |
Securities and Exchange Commission
ⓘ
surface form:
SEC
|
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Investment Adviser Registration Depository Description of subject: The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
Referenced by (4)
Full triples — surface form annotated when it differs from this entity's canonical label.
this entity surface form:
Investment Adviser Registration Program