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Who has filed Form ADV so far in 2011, under the new rules? These guys.

February 22, 2011

On January 1, new SEC rules went into effect which required, among other things, that registered investment advisers update their ADV registration to include the now-mandatory Part 2 brochure.  Most advisers have until March 31 to do.  Here, straight from our Law Firm Memos database, is a recent and concise summary of the new requirements, courtesy of Holland & Knight.

Photo by GeorgHH. Some rights reserved.

We’ve had many customers consulting our ADV search page for the new submissions.  However, because of the idiosyncratic nature of the IARD data, we’ve been limited in our ability to identify those documents based on submission date.

But this story has a happy ending.  We were able to query our database directly, and the resulting 719 records can be found here, in this Excel spreadsheet.

A disclaimer.  This may not be a “complete” list, since we update IARD data (unlike EDGAR data, for example) incrementally on a rolling basis.  That means not all registrations that have come in over the last month or so will be here.  Data prior to that should be complete.

If you’re a Knowledge Mosaic customer, we’re happy to send you an updated spreadsheet whenever you like.  Just write us at

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