How do I find my IARD number?

Additional information about IARD can be found on FINRA’s IARD website, http://www.iard.com and on NASAA’s website, http://www.NASAA.org.

How do I find my private fund identification number?

[2] A private fund identification number is a unique identification number for each fund. Advisers must obtain an identification number for each private fund by logging onto the Investment Adviser Registration Depository (IARD) Web site and using the private fund identification number generator.

Who qualifies as an exempt reporting adviser?

Exempt Reporting Advisers (“ERAs”) are investment advisers that are not required to register as an adviser with the U.S. Securities Exchange Commission (“SEC”) or state regulators, but must still pay fees and report public information via the IARD/FINRA system.

How do I access IARD?

You can find forms and information about setting up an IARD Account on the FINRA’s website www.iard.com. Click on “How to Access IARD,” located on the left side of the screen, and print off an SEC Adviser Entitlement Information Packet and a New Organization SAA Entitlement Form & Instructions.

What is an IARD account?

IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals.

What is IARD?

How often is form PF filed?

quarterly
Form PF is required to be filed on a quarterly or annual basis by SEC-registered investment advisers (and those required to be SEC-registered) who manage any number of private funds with at least $150 million in private fund assets under management as of the adviser’s most recent fiscal-year end.

What is IARD number?

IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. FINRA is the developer and operator of IARD.

What is CRD payment?

Central Registration Depository (CRD) on the Web “Web CRD also facilitates the processing and payment of registration-related fees such as form filings, fingerprint submissions, qualification exams, and continuing education sessions. Web CRD is a secure system for entitled users only.

What is the IARD system?

Once an investment adviser (IA) firm completes the entitlement process, it will obtain access to the IARD system in order to register or file as an exempt reporting adviser via this secure system, which FINRA operates on behalf of the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA).

How do I contact IARD about the entitlement program?

Questions regarding the Entitlement Program and should be directed to the IARD Call Center at (240) 386-4848. Each year, FINRA designates a period during which SAAs of organizations with more than one user must certify their users’ access to comply with FINRA’s Entitlement User Accounts Certification Process.

What is an IARD flex fund?

IARD TM facilitates the collection and disbursement of fees associated with filings processed on the system. Once an Investment Adviser (IA) firm establishes a user account to obtain access to and file in IARD, a Flex-Funding Account is also set up for that firm.

How do I set up an IARD account?

There are three steps in this process. You can find forms and information about setting up an IARD Account on the FINRA’s website www.iard.com. Click on “How to Access IARD,” located on the left side of the screen, and print off an SEC Adviser Entitlement Information Packet and a New Organization SAA Entitlement Form & Instructions.