Skip to content
INVESTORTRUST HUB

InvestorTrustHub · Arizona

Arizona Investment Adviser & Securities Intelligence

This page organizes federal SEC/IARD facts for firms that report an Arizona principal office, plus official Arizona Corporation Commission Securities Division verification and filing paths. It does not rank advisers, score firms, or publish a Trust Score. An Arizona principal office is not Arizona state registration.

We organize the evidence. You decide.

Research AZ-headquartered SEC/IARD firmsVerify an Arizona registration at ACC

State of the record

Universe · Current · Observations · Geography · As-of

213

Universe

SEC/IARD firms with an AZ principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = AZ

Calculation. COUNT of roster firms with principal-office region AZ = 213. Same-source national roster = 23,622; resolved geography = 17,997; unresolved = 5,625.

Caveat. This is the national SEC/IARD roster overlay for firms that report an Arizona principal office. It is not the Arizona state-registered adviser universe, not a complete Arizona adviser count, and not proof of current Arizona Corporation Commission authority. ARIZONA PRINCIPAL OFFICE != ARIZONA STATE REGISTRATION. These 213 firms already exist in the federal graph and are not net-new organizations.

UNKNOWN

Current

Complete Arizona state IA roster. SOURCE_AVAILABLE_BY_REQUEST, not acquired.

Trace this number

Source. https://www.azcc.gov/docs/default-source/securities-files/pubreq2.pdf

Source date. 2026-09-04

Coverage. SOURCE_AVAILABLE_BY_REQUEST

Grain. state-licensed investment adviser firm

Calculation. ACC CSV lists exist by public-records request. The request was not filed. Missing is unknown, not zero. Do not use 213 as Arizona licensed advisers.

Caveat. ACC can provide CSV lists by public-records request for Arizona-registered dealer firms, IA firms licensed in Arizona, and IA firms notice-filed in Arizona. That request was not filed. Available-by-request is not acquired. Do not estimate the missing state roster from SEC principal-office geography. Do not scrape BrokerCheck, IAPD, or ACC search.

205

Observations

ACC enforcement HTML index rows profiled. Not attached to firm profiles.

Trace this number

Source. https://www.azcc.gov/securities/enforcements/actions

Source date. 2026-09-04

Coverage. INDEX_PROFILED_NOT_ATTACHED

Grain. HTML index row (Date Filed + Company/Individual)

Calculation. 205 index rows; 87 mention CRD in the respondent cell; 118 are name-only. PDFs downloaded = 0.

Caveat. ACC publishes year-grouped HTML tables of Date Filed and Company/Individual, with PDF order links. 205 index rows were profiled on 2026-09-04. 87 mention a CRD in the respondent cell; 118 are name-only. Native action class (consent, cease and desist, etc.) is not a column on the index and was not inferred from PDFs. PDFs and eDockets were not crawled. Name-only attachment is unsafe. Action count is not quality. No action found is not a clean record. Index rows are not a person directory.

ACC

Regulator

Arizona Corporation Commission, Securities Division.

2026-08-27

As-of

SEC/IARD compilation IA_FIRM_SEC_Feed_08_27_2026.

Trace this number

Source. Committed AZ-INV-001 public snapshot

Source date. 2026-09-04

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 683c862012698a9f…

Caveat. Numbers on this page must match the generated snapshot.

What the sources say

Arizona evidence findings

FEDERAL GEOGRAPHY

213 SEC/IARD roster firms report an Arizona principal office

That is 1.18% of roster firms with a resolved principal-office region (17,997). It is not Arizona licensed advisers and not net-new companies.

CLASS SEPARATION

National roster: 17,018 RIA facts and 6,604 ERA facts

National roster keeps RIA (17,018) and ERA (6,604) separate. Committed geography is on the combined roster. Arizona principal-office counts are not an RIA-only or ERA-only state denominator. ERA is not an RIA. SEC RIA is not an Arizona state RIA.

STATE GAP

Arizona state IA, dealer, and notice-filed firm lists are SOURCE_AVAILABLE_BY_REQUEST

Complete state-IA count is UNKNOWN. The ACC list-request form can produce CSV for dealer firms, IA firms licensed in Arizona, and IA firms notice-filed in Arizona. That request was not filed. Do not fill the gap with the 213 principal-office overlay. Verify a named firm on IAPD, BrokerCheck, or by calling the ACC Investigator on Duty.

ENFORCEMENT IDENTITY

205 ACC HTML index rows; 118 are name-only

The official index columns are Date Filed and Company/Individual. 87 rows mention a CRD in the respondent cell. Name-only attachment is unsafe. Native action class is not on the index. PDFs were not downloaded. Action count is not quality.

ENTITY GROWTH

This ticket adds intelligence, not new canonical firms

Expansion ledger: net-new canonical organizations 0; net-new state identities 0; existing organizations enriched 0; new evidence rows 205 (ACC index profiled, not attached). Federal overlay is not entity growth.

Find advisers

Federal research and Arizona state verification stay separate

Regulator map

What each credential proves

SEC RIA is not a state RIA. CRD identity is not current Arizona authority.
CredentialRegulatorWhat it provesWhat it does not prove
SEC-registered investment adviserU.S. Securities and Exchange Commission / IARDFederal registration category as reported on Form ADV in the cited extractArizona state-RIA licensure or current Arizona notice-filing status
Exempt reporting adviser (ERA)SEC / IARD (and Arizona notice when applicable)ERA reporting status in the cited extractSEC RIA registration or Arizona state-RIA licensure
Arizona state-licensed investment adviserArizona Corporation Commission Securities DivisionArizona investment-adviser licensure when the official ACC/IARD record says soSEC registration. Principal-office geography is not this credential.
Federally covered / notice-filed investment adviserACC Securities Division (notice) / SEC (federal registration)Notice-filing posture when the official IARD/ACC record says soArizona state-RIA licensure. Notice-filed is not the state-licensed universe.
Investment adviser representativeACC Securities Division / CRDIndividual representative reporting when official CRD/ACC evidence existsFirm registration. IAR is not the firm.
Broker-dealer / securities salespersonACC Securities Division / FINRA / CRDBroker-dealer or salesperson registration when official evidence existsInvestment-adviser registration
Issuer / securities filingArizona Corporation Commission Securities DivisionA registration, exemption, or notice-filing posture when the official filing record says soInvestment quality or Form D approval
CRD / IARD identifierFINRA CRD / IARD infrastructureA stable identity key when source-nativeCurrent Arizona authority by itself

Registration framework

SEC, Arizona ACC, IAR, and broker-dealer stay on separate paths

This is consumer orientation, not legal advice, and not a calculation of any firm's registration eligibility. Securities Act of Arizona (A.R.S. Title 44, Chapter 12) and the Arizona Investment Management Act (A.R.S. Title 44, Chapter 13) administered by the Arizona Corporation Commission Securities Division — investment-adviser and IAR licensure, federally covered adviser notice filing, broker-dealer and salesperson registration, and securities registration/exemptions/notice filings.

  • Firms that are SEC-registered typically notice-file in Arizona through IARD when Arizona is a notice-filing jurisdiction. Official ACC path: investment adviser / IAR licensing and notice filing.
  • Arizona state licensure may apply to advisers that are not SEC-registered. The complete licensed-firm CSV is available only by public-records request and was not acquired.
  • Individuals who render advisory services generally license as investment adviser representatives. IAR is not the firm. Official path: IAR licensing.
  • Broker-dealer and securities salesperson registration is a different credential from investment-adviser licensure. Verify BD/salesperson status on BrokerCheck. Do not treat one as the other.

Issuer / securities filings

Official Arizona research paths

Federal Form D is not Arizona qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired. ACC eDocket was not crawled. Statutes A.R.S. Title 44, Chapter 12 and A.R.S. Title 44, Chapter 13; IA rules A.A.C. Title 14, Chapter 6; securities rules A.A.C. Title 14, Chapter 4.

Exam / guidance

Qualification exams and current rule text, not a firm scorecard

ACC publishes IAR/IA examination and designation-waiver rules. That is individual qualification guidance, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score. The Division does not waive examination requirements except through the listed designations in good standing.

Official examination page: A.A.C. R14-6-204 requirements. After 31 Dec 1999: Series 65, or Series 66 plus Series 7 or Series 2. Designation waivers in good standing: CFP, CFA, ChFC, CIC, PFS. Investor education stays educational: AZ Investor.

Public contacts

No Arizona search scrape and no ACC list request

Official/public business sources only. No internet enrichment. No ACC/IAPD/BrokerCheck search scrape. No ACC requested contact lists. No person contact publication from this ticket.

Used only as geography for the SEC/IARD overlay; not republished here as a harvested directory.

Evidence depth

Source families

Coverage describes availability. Missing is unknown, not zero.
FamilyAgencyAs ofGrainCount / rowsLimitations
SEC/IARD RIA (national)SEC / IARD2026-08-27Form ADV / IARD firm fact17,018National class. Not an Arizona state-RIA count.
ERA (national)SEC / IARD2026-08-27ERA reporting fact6,604ERA is not an RIA.
AZ principal-office overlaySEC / IARD2026-08-27SEC IARD roster firm with principal-office region = AZ213This is the national SEC/IARD roster overlay for firms that report an Arizona principal office. It is not the Arizona state-registered adviser universe, not a complete Arizona adviser count, and not proof of current Arizona Corporation Commission authority. ARIZONA PRINCIPAL OFFICE != ARIZONA STATE REGISTRATION. These 213 firms already exist in the federal graph and are not net-new organizations.
Arizona state IA listACC Securities2026-09-04state-licensed IA firmUNKNOWNACC can provide CSV lists by public-records request for Arizona-registered dealer firms, IA firms licensed in Arizona, and IA firms notice-filed in Arizona. That request was not filed. Available-by-request is not acquired. Do not estimate the missing state roster from SEC principal-office geography. Do not scrape BrokerCheck, IAPD, or ACC search.
ACC requested-list availabilityACC Securities2026-09-04public-records CSV offernot filedAvailable-by-request is not acquired. Commercial-purpose request requires a notary.
Arizona enforcement indexACC Securities2026-09-04HTML index row205ACC publishes year-grouped HTML tables of Date Filed and Company/Individual, with PDF order links. 205 index rows were profiled on 2026-09-04. 87 mention a CRD in the respondent cell; 118 are name-only. Native action class (consent, cease and desist, etc.) is not a column on the index and was not inferred from PDFs. PDFs and eDockets were not crawled. Name-only attachment is unsafe. Action count is not quality. No action found is not a clean record. Index rows are not a person directory.
IAPD / BrokerCheckSEC / FINRAn/aofficial searchnot scrapedBroker-dealer is not an investment adviser. CRD is not current Arizona authority.
Issuer / securities filingACC Securities2026-09-04statute / rule / notice filingSOURCE_NOT_ACQUIRED bulkFederal Form D is not Arizona qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired. ACC eDocket was not crawled.
Form DSEC2026-09-04not in committed productSOURCE_NOT_ACQUIREDFORM D FILING != ARIZONA STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.
Exam / guidanceACC Securities2026-09-04qualification exam / rule textno firm-level public scorecardACC publishes IAR/IA examination and designation-waiver rules. That is individual qualification guidance, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score. The Division does not waive examination requirements except through the listed designations in good standing.

What we don't yet know

Missing sources block a metric, not this page

  • Complete current Arizona state-IA roster is UNKNOWN (SOURCE_AVAILABLE_BY_REQUEST, not filed).
  • Complete Arizona dealer firm roster is UNKNOWN (SOURCE_AVAILABLE_BY_REQUEST, not filed).
  • Complete Arizona notice-filed IA roster is UNKNOWN (SOURCE_AVAILABLE_BY_REQUEST, not filed).
  • Complete Arizona IAR universe is UNKNOWN and is not published as a person directory.
  • Exact ACC registration status is not known for every SEC/IARD firm with an AZ principal office.
  • Committed geography is not split into AZ RIA vs AZ ERA.
  • ACC enforcement PDFs and eDockets were not crawled. Native action class is not on the HTML index.
  • No Form D Arizona overlay is in the committed product.
  • No statewide issuer bulk denominator was acquired.
  • ARIZONA PRINCIPAL OFFICE != STATE REGISTRATION
  • SEC RIA != ARIZONA STATE RIA
  • ERA != RIA
  • IAR != FIRM
  • BROKER-DEALER != IA
  • CRD != CURRENT ARIZONA AUTHORITY BY ITSELF
  • REQUESTABLE LIST != ACQUIRED ROSTER
  • FORM D != ARIZONA APPROVAL
  • ORDER != COMPLAINT
  • NOTICE != FINAL ORDER
  • NAME-ONLY ADVERSE MATCH = UNSAFE
  • FEDERAL OVERLAY != ENTITY GROWTH
  • MISSING != ZERO
  • NO TRUST SCORE
  • NO PAID RANKING