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State IA firm CRDs
NOT_ACQUIRED. Confirm current Maryland status with the division or IAPD. “Approved” is a source status, not investment quality.
InvestorTrustHub · Maryland
Maryland Investment Adviser & Securities Intelligence
The Maryland Office of the Attorney General, Securities Division registers investment advisers, broker-dealers and their separate representative and agent classes. Its published administrative actions add state-specific evidence. Registration status is source reporting, never an endorsement.
Four separate adviser lenses
Maryland state IA current or approved registration, federal-covered adviser notice filings, active exempt reporting advisers (ERA), and Maryland principal offices are separate firm-CRD lenses. They cannot be summed. Maryland directs the public to contact its Securities Division for exact registration and complaint checks. A clean statewide Maryland roster was NOT_ACQUIRED.
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Federal notice firm CRDs
NOT_ACQUIRED. A notice filing is not Maryland state IA registration or a Maryland office.
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Active ERA firm CRDs
NOT_ACQUIRED. An ERA is not an SEC-registered RIA.
263
Maryland principal-office firms
Accepted national SEC/IARD roster, 2026-08-27. This older office-geography lens is not Maryland registration or service territory.
The later IAPD compilation source date is 2026-09-17, but Maryland registration filters could not be reproduced from accessible files in this run. The older accepted national roster supports only the principal-office geography above. Exact Maryland CRD intersections are NOT_ACQUIRED, not zero. No national adviser population was duplicated.
Broker-dealers, agents and adviser representatives
The Securities Division provides exact registration and complaint checks for brokerage firms, stockbrokers and advisers. BrokerCheck and IAPD provide further firm or person research. Maryland-only bulk broker-dealer, agent and IAR rosters are NOT_ACQUIRED. A person CRD is never treated as a firm CRD.
2022–2026 Securities Division actions
The Maryland administrative-actions index supplied 142 dated rows in the bounded window. 138 links resolved to official PDF paths; 99 PDFs were readable in this pass. These are document-index rows, not unique matters, firms, final adverse findings or a complete history.
Index labels: 72 consent, 23 final, 46 show-cause or summary, and 1 other or unresolved. A show-cause order is not a final finding; consent and final orders retain their separate source labels. Sixteen readable PDFs contain printed CRD candidates. They have not been assigned firm or person identity solely from that print. Exact firm attachments: 0; name-only adverse joins: 0.
Examinations and complaints
Maryland describes an investment-adviser examination program. Examination capability is KNOWN; provider-level outcomes are NOT_ACQUIRED. The division accepts securities complaints; complaint intake is KNOWN. The complaint form says submitted personal information remains confidential unless formal legal action is taken. Public provider-level complaint rows and outcomes are NOT_ACQUIRED. A complaint is not an enforcement finding.
Source clocks and gaps
Older accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28; later IAPD compilation source date: 2026-09-17; Maryland registration status date: unavailable; action-list retrieval: 2026-09-29T14:04:09+00:00; each action's displayed list date is retained separately; snapshot generated: 2026-09-29T14:04:09+00:00. There is no universal Maryland securities as-of date.
State IA, notice and ERA counts and exact CRD intersections: NOT_ACQUIRED. Maryland-only BD and person rosters, provider-level exam results and complaints: NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim changes: 0. No city pages, scores or adviser ranking.