InvestorTrustHub · Indiana

Indiana Investment Adviser & Securities Intelligence

The Indiana Secretary of State, Securities Division registers investment advisers and their representatives, broker-dealers and their agents, receives federal-covered adviser notice filings, examines advisers and issues administrative actions. Registration is reported source status, never an endorsement.

Four separate Indiana adviser lenses

These are distinct firm-CRD sets partitioned from the accepted IAPD compilations dated 2026-09-17; no national population was re-ingested. They must not be added into an “Indiana advisers” total. The Division explains that advisers under the SEC threshold register with Indiana, while SEC-registered advisers make a notice filing.

Exact firm-CRD intersections: state IA (approved) ∩ notice 2; state IA ∩ ERA 0; ERA ∩ notice 0; principal office ∩ notice 147. Exact SEC-file intersections were not separately computed. IAPD state compilation · IAPD SEC compilation

Broker-dealers, agents and adviser representatives

Indiana registers broker-dealers and broker-dealer agents and investment adviser representatives as separate firm and person classes. The Division’s Registration Search covers other registration types, says it is not an exhaustive list, and points to BrokerCheck for broker-dealer and adviser firms and individuals. Indiana-only bulk broker-dealer, agent and IAR rosters are NOT_ACQUIRED; verification capability is KNOWN. A person CRD is never a firm CRD, and no firm profile is built from a person registration.

2022–2026 administrative actions

The Division’s Administrative Action Search held 1,747 actions at retrieval. 65 rows dated 2022–2026 are securities matters: 63 tagged Securities/Investment plus 2 tagged Loan Broker whose orders cite only the Uniform Securities Act. Index labels: 43 final order, 37 consent agreement, 15 cease and desist, 3 bar and 1 revocation (a row can carry several). A cease-and-desist or summary order can precede a hearing; do not read it as a final finding.

24 order PDFs have a text layer and 41 are scanned images, so printed identifiers for scanned orders are NOT_ACQUIRED. 16 text orders print CRD numbers, which can belong to firms or people. A CRD is linked only when it is an IAPD firm CRD and that firm’s IAPD name appears in the respondent caption: 5 exact firm-CRD links, 0 exact SEC-file links. These are read-only crosswalks: exact adverse attachments 0; name-only adverse joins 0. The Division says the index is not exhaustive.

Examinations and complaints

The Division publishes its investment adviser examination process and procedures (routine examinations of Indiana-registered advisers) and requires Indiana-domiciled advisers to complete an annual questionnaire (2026 due March 31). Examination capability is KNOWN; provider-level exam rows and outcomes are NOT_ACQUIRED. The Division accepts investor complaints through its portal or on paper. Complaint intake is KNOWN; provider complaint rows are NOT_ACQUIRED and outcomes are REQUEST_ONLY / NOT_ACQUIRED. A complaint is not an enforcement finding.

Source clocks and gaps

IAPD STATE and SEC compilation source date 2026-09-17 (each feed SHA-256 pinned); lenses generated 2026-09-29T20:15:01+00:00. Indiana Registration Search: capability reviewed 2026-09-29, no bulk rows. Administrative-action index retrieved 2026-09-29T19:05:36Z; each row keeps its own Division index date. Examination resources reviewed 2026-09-29. There is no universal Indiana investor clock.

Indiana BD/agent/IAR bulk rosters, identifiers in scanned orders, provider-level exam outcomes and complaint cases are NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim changes: 0. Indianapolis, Fort Wayne, Evansville and South Bend are geography only; no city routes, scores or adviser ranking.

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