Investment Adviser Public Disclosure (IAPD).

Your next investment adviser hire could sink client portfolios in a single bad trade - or worse, flee with their assets entirely. Before you hand someone fiduciary authority over millions in client wealth, shouldn't you know if they've been barred from the securities industry for fraud, theft, or gross misconduct? CIChecked's Investment Adviser Public Disclosure (IAPD) verification uncovers the disciplinary shadows that automated database searches miss, protecting your firm from advisers whose past mistakes could become your future lawsuits.

What IAPD Verification Reveals

• SEC Registration Validation: Active registration status, lapsed licenses, and unauthorized practice patterns that expose your firm to regulatory sanctions
• Disciplinary History Intelligence: SEC enforcement actions, state sanctions, client complaint patterns, and regulatory violations that predict future risk behavior
• Professional Misconduct Records: Investment fraud convictions, embezzlement charges, client trust violations, and fiduciary breaches hidden in regulatory archives
• Multi-State Investigation Analysis: Cross-jurisdictional enforcement patterns, registration shopping behaviors, and disciplinary action escalation across multiple states

Rapid Compliance Assessment: IAPD verification delivers comprehensive regulatory intelligence within 24-48 hours, providing immediate insight into adviser trustworthiness and fiduciary competence.

The Regulatory Risk Reality

IAPD verification is essential for registered investment adviser firms, broker-dealers, financial planning companies, and wealth management practices. Any organization managing client assets needs an adviser with background intelligence that goes beyond basic criminal checks.

Financial advisers with hidden disciplinary records represent catastrophic liability risks when managing client portfolios. One undisclosed SEC sanction or state enforcement action can trigger regulatory investigations, client lawsuits, and reputation destruction that takes decades to rebuild.

CIChecked's IAPD searches utilize comprehensive regulatory database access combined with manual verification processes that identify discrepancies, cross-reference enforcement actions, and uncover patterns that automated systems miss entirely.

Clean registration history, proper licensing maintenance, and absence of client complaints support adviser trustworthiness. Multiple jurisdictional issues, lapsed registrations, enforcement actions, or complaint patterns warrant immediate disqualification for fiduciary positions.

Fiduciary Trust Prediction

IAPD history provides objective evidence of regulatory compliance, professional conduct, and fiduciary responsibility that predicts job performance in wealth management positions. Poor regulatory history often correlates with poor judgment in professional client responsibilities.

Advisers with securities violations, client fraud allegations, or regulatory sanctions represent elevated theft and misconduct risks when managing client assets. IAPD verification identifies these liability factors before they become million-dollar compliance disasters.

Bottom Line: IAPD verification provides essential regulatory compliance intelligence that predicts fiduciary trustworthiness and identifies potential fraud risks. Critical screening for any position involving client asset management, investment authority, and securities handling responsibilities.