Investment Adviser- IARD Administration
Electronic Filing Service
- The initial Form ADV Part I;
- Amendments to Part I;
- State Notice Filings;
- State Registrations for State Advisers; and
- Annual Amendments.
IARD Agent Registration
SCA provides investment adviser representative services, including:
- Entering adviser representatives initial Form U-4s onto IARD;
- Transitioning adviser representatives onto IARD;
- Updating Form U-4s; and
- Completing Form U-5 processing.
Firms can outsource the entire IARD administration function or retain SCA to train their in-house staff.
Contact SCA at: (866) 526-3555
Office Locations:
East Coast: New York, NY • West Coast: Santa Fe, NM • South: New Orleans, LA • Midwest: Oklahoma City, OK
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