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INVESTORTRUST HUB

InvestorTrustHub · New Jersey

New Jersey investment adviser & securities intelligence

This page organizes official federal SEC/IARD facts and New Jersey Bureau of Securities evidence — enforcement documents, annual investment-adviser examination themes, issuer and exemption filing frameworks, and policy instruments. It does not rank advisers, score firms, or tell you who is safest.

We organize the evidence. You decide.

Research NJ-headquartered SEC/IARD firmsSearch any SEC/IARD firm

State of the record

Universe · Current · Observations · Geography · As-of

438

Universe

SEC/IARD firms with a NJ 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 = NJ

Calculation. COUNT of roster firms with principal-office region NJ = 438

Caveat. This is the national SEC/IARD roster overlay. It is not the New Jersey state-registered adviser universe and does not include ERAs or state-only firms unless they appear in that roster with a NJ principal office.

68

Current

Public questions in the 2026 IA written-examination sample. Deadline 2026-06-30.

Trace this number

Source. NJ Bureau of Securities 2026 sample examination PDF

Source date. 2026-06-08

Coverage. ACQUIRED_CURRENT_SNAPSHOT

Grain. public sample question

Calculation. COUNT of numbered questions parsed from the official sample PDF

Caveat. The written examination is not a public firm rating or pass/fail credential. Firm answers are not public.

48

Observations

Official Bureau regulatory documents in the acquired corpus.

Trace this number

Source. NJ Bureau of Securities / DCA Actions PDFs and NJOAG-hosted orders

Source date. 2026-09-02

Coverage. ACQUIRED_PARTIAL_HISTORY

Grain. official PDF

Calculation. COUNT DISTINCT official_pdf_url in the committed coverage manifest

Caveat. Partial historical corpus — the Bureau's live action index is access-blocked and the acquired documents do not establish the complete universe of actions.

NJ

Geography

New Jersey securities regulator and NJ principal-office overlay. Not service territory.

2026-09-02

As-of

Publication snapshot nj-inv-003-public-v1.

Trace this number

Source. Committed NJ-INV-003 public snapshot

Source date. 2026-09-02

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint dad2d1ae91c971c8…

Caveat. Numbers on this page must match the generated snapshot. Retrieval timestamps are not change events.

What the sources say

Three New Jersey evidence findings

PARTIAL HISTORICAL COVERAGE

48 official Bureau regulatory documents

The acquired corpus contains 48 unique official PDFs spanning 2002-08-22 through 2026-02-25. Partial historical corpus — the Bureau's live action index is access-blocked and the acquired documents do not establish the complete universe of actions.

2026 PUBLIC SAMPLE

68 questions in the official IA written-examination sample

Registered New Jersey investment advisers are required to submit the annual written examination. The public sample contains 68 parsed questions. Deadline 2026-06-30. The written examination is not a public firm rating or pass/fail credential. Firm answers are not public.

REGULATORY PRIORITY

Artificial intelligence first appears in 2024 annual examination material

Official 2024 Bureau/NJOAG announcements added AI, advertising, and investment-concentration themes. 2025 emphasized outside business activities and conflicts. The 2026 sample includes custody, cybersecurity, complaints, discretion, and financial-condition questions. A missing historical sample PDF is not evidence that a topic was removed.

Annual IA examination

Regulatory-priority timeline, 2022–2026

Themes below are source-backed: NJOAG/Bureau announcements for 2022–2025, and the official 2026 sample examination PDF. This is a risk-assessment questionnaire, not a firm score.

  1. 2022

    Compliance policies · Cryptocurrency · Digital assets · Non-fungible tokens (NFTs)

    Themes are taken from official Bureau/NJOAG announcements. A missing sample questionnaire is not evidence that a topic was removed.

  2. 2023

    Firm organization

    Themes are taken from official Bureau/NJOAG announcements. A missing sample questionnaire is not evidence that a topic was removed.

  3. 2024

    Advertising and marketing · Artificial intelligence · Firm organization · Investment concentration

    Themes are taken from official Bureau/NJOAG announcements. A missing sample questionnaire is not evidence that a topic was removed.

  4. 2025

    Conflicts of interest · Firm organization · Outside business activities · Representative oversight

    Themes are taken from official Bureau/NJOAG announcements. A missing sample questionnaire is not evidence that a topic was removed.

  5. 2026

    Advertising and marketing · Assets under management · Complaints · Compliance policies · Custody · Cybersecurity · Discretion · Financial condition · Firm organization · Outside business activities · Representative oversight · Vendor / third-party platforms · Vulnerable adults / senior investors

    Themes are taken from the official 2026 public sample examination PDF.

2026 examination deep dive

Public sample questionnaire

The written examination is not a public firm rating or pass/fail credential. Firm answers are not public. Do not read a question as a finding that New Jersey firms using a technology or practice are unsafe.

Bureau press language such as “nearly 800” or “nearly 900” is attributed historical context. It is not an exact current state-RIA denominator.

Topic families present in the 2026 public sample (count of years observed 2022–2026)
Trace this number

Source. Official 2026 sample examination PDF and 2022–2025 NJOAG announcements

Source date. 2026-09-02

Coverage. ACQUIRED_CURRENT_SNAPSHOT for 2026 sample; ACQUIRED_PARTIAL_HISTORY for prior years

Grain. public question / announcement theme

Calculation. 68 numbered questions parsed from the 2026 sample PDF

Caveat. Firm answers, pass/fail results, and follow-up selections are not public.

New Jersey Bureau of Securities

Acquired enforcement and regulatory documents

Partial historical corpus — the Bureau's live action index is access-blocked and the acquired documents do not establish the complete universe of actions.

No enforcement rate is published. A complete current state-RIA firm roster has not been acquired, so there is no safe denominator.

Documents by source year

Year taken from the official filename/date in the coverage manifest. Grain: document.

20021
20032
20091
20101
20121
20134
20141
20153
20165
20176
20183
20192
20203
20211
20232
20243
20253
20261

Documents by filename class

Classes are derived from official filenames, not a complete Bureau taxonomy and not a ranking.

Consent orders24
Revocation / summary revocation (filename)10
Other Bureau documents7
Summary orders3
Cease-and-desist2
Civil / verified complaints1
Final orders1

Issuer / exemption framework

Official New Jersey filing classes

An exemption category or filing class is not approval, endorsement, or a finding that an offering is safe. Issuer filings are not investment-adviser profiles.

Inventoried official form and filing classes. No public bulk filing index was acquired.
ClassWhat the official materials describe
PRIVATE_PLACEMENT_REPORTPrivate placement report of sale
SCOR_REGISTRATIONSmall corporate offering registration (SCOR)
INVESTMENT_COMPANY_NOTICEInvestment-company notice filing (covered securities)
FORM_D_NOTICEFederal Form D copy when a NJ private-placement report includes it
CROWDFUNDING_EXEMPTIONIntrastate crowdfunding exemption
CROWDFUNDING_INVESTOR_CERTIFICATIONCrowdfunding investor certification form (not ingested as PII)
CROWDFUNDING_INVESTOR_LEGENDCrowdfunding investor legend
INTERNET_SITE_OPERATORInternet Site Operator registration
ISO_AMENDMENTInternet Site Operator amendment
ISSUER_AGENT_REGISTRATIONAgent of the issuer registration
RESCISSION_OFFERRescission-offer procedure
SECURITIES_REGISTRATION_U1Uniform application to register securities (Form U-1)

General orders / policy

Rules that apply to classes of market participants

A Bureau order of general application is not adverse evidence against every firm. The live general-order HTML library is access-blocked; 2 current policy instruments are modeled from official public descriptions.

  • IAR continuing education requirement · effective 2025-01-01 · Investment adviser representatives. 12 annual credits as described on the Bureau IAR CE FAQ. This is policy, not a person directory.
  • IAR examination waiver designations · Investment adviser representatives. Bureau examination-requirements page describes designation-based waivers. Not firm enforcement.

What changed

Source-backed current changes

  • 2026 annual investment-adviser written examination sample released; deadline 2026-06-30.
  • 2026 public sample includes custody, cybersecurity, complaints, discretion, and financial-condition families.
  • IAR continuing-education policy effective 2025-01-01 (12 credits as officially described).

Retrieval timestamps and HTML markup changes are not listed as regulatory events.

Evidence depth

Source families

Coverage describes availability. It does not describe firm quality.
FamilyCoverage
Bureau enforcement documentsPartial historical corpus (48 official PDFs)
Annual IA examinations2026 sample current; 2022–2025 announcements
General orders / policyHTML library access-blocked; 2 modeled instruments
State registrationComplete NJ state-RIA roster pending official request
Issuer / exemption filingsForm-class inventory; no public bulk index
National SEC/IARD overlay438 NJ principal-office roster firms (not state-RIA)

What we don't yet know

Missing sources block a metric, not this page

  • A complete current New Jersey state-registered investment adviser firm roster is pending an official records request.
  • A complete historical Bureau enforcement index is unavailable through the current public HTML library (access-blocked).
  • Public firm-level annual examination answers are not available.
  • A complete public issuer / crowdfunding / Internet Site Operator filing index is not downloadable.
  • Orders of general application HTML library remains access-blocked; two policy instruments are modeled from official public descriptions.