Registered investment advisers
Understand market size and trends with access to the entire market of registered investment advisers and exempt advisers submitting Form ADV.
The Ideagen Audit Analytics RIA database simplifies and organizes the information from Form ADV into easy to use search modules, profile pages and CSV downloads.
Know who audits registered investment advisers (RIAs) and private funds
Analyze top-ranking auditors by assets under management (AUM) or number of clients
Identify the private funds, investment companies, and business development companies advised by the RIA
Know which RIAs were audited by surprise exam
Profiling metrics include assets under management (AUM), number of clients, number of accounts and number of employees
Relationships include direct owners, indirect owners and control persons, private funds under management and financial affiliations
Regulatory Requirements include the surprise exam or pooled audit requirement
Registered investment advisers who have more than $110M in AUM are generally required to register with the SEC and file Form ADV. Form ADV contains information about an adviser’s business, ownership, clients, employees, business practices, affiliations and any disciplinary events.