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InvestorTrustHub · Pennsylvania

Pennsylvania Investment Adviser & Securities Intelligence

The Pennsylvania Department of Banking and Securities (DoBS) is the state securities regulator. CRD/IARD is the registration infrastructure. IAPD is the public adviser research system. This page organizes separate research lenses: state IA, ERA, federal notice, and principal office. Exact CRD is the firm identity. DoBS enforcement is separate evidence and is not automatically an adviser matter. IARs are people, not adviser firms. There is no combined Pennsylvania adviser total. This page does not rank advisers, score firms, or publish a Trust Score.

We organize the evidence. You decide.

Research Pennsylvania-headquartered SEC/IARD firmsVerify on IAPD

State of the record

Universe · Current · State ERA · Notice · As-of

623

Universe

SEC/IARD roster firms with a Pennsylvania principal office. Not the state-RIA roster.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

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

Calculation. COUNT of roster firms with principal-office region PA = 623. Raw compilation MainAddr=@State=PA = 628 is a different extract.

Caveat. This is the national SEC/IARD roster overlay for firms that report a Pennsylvania principal office on the reconciled 23,622-firm geography table (PA = 623). It is not the Pennsylvania state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current DoBS authority. PENNSYLVANIA PRINCIPAL OFFICE != PENNSYLVANIA STATE REGISTRATION. These 623 firms already exist in the federal graph and are not net-new organizations. The raw 2026-09-17 compilation MainAddr=@State=PA count is a different extract (628) and is not this overlay.

864

Current

Pennsylvania state-registered investment-adviser firms (IAPD state compilation, APPROVED).

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_09_17_2026.xml.gz

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = PA

Calculation. 864 Pennsylvania StateRgstn rows; 864 distinct firm CRDs; 864 APPROVED; 0 TERMREQUEST. Filter is Rgltr/@Cd=PA, not address.

Caveat. IAPD state compilation firms with Pennsylvania as the registration jurisdiction and status APPROVED. This is IARD-derived state registration evidence used by DoBS. It is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, not a broker-dealer count, and not the 623 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles. DoBS mixed securities-class totals exceeding 200,000 are not this grain.

99

State ERA

Pennsylvania state ERA reporting firms. ERA is not an RIA.

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Source. IA_FIRM_STATE_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. Pennsylvania state ERA reporting firm; ERA/Rgltr/@Cd=PA; distinct firm CRD

Calculation. 99 registration rows; 99 distinct firm CRDs; 99 ACTIVE; overlap with Pennsylvania state IA = 0.

Caveat. State ERA reporting is not a Pennsylvania state RIA and is not an SEC RIA. Overlap with state IA is zero in this extract.

3,411

Notice

SEC/IARD firms with a Pennsylvania notice filing. Not state-RIA licensure.

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Source. IA_FIRM_SEC_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=PA and status FILED

Calculation. 3411 notice rows; 3411 distinct CRDs with status FILED. Overlap with approved state IA = 5.

Caveat. Federal-covered / notice-filed is not Pennsylvania state-RIA licensure. Notice-filed is not the 623 principal-office overlay. A Pennsylvania principal office does not prove a current notice filing.

2026-08-27

As-of

IAPD compilations IA_FIRM_STATE_Feed_09_17_2026. Retrieval time is not sourceAsOf.

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Source. Committed PA-INV-001 public snapshot

Source date. 2026-09-17

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 80420690c4456628…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf.

Pennsylvania DoBS registration context

DoBS issues Investment Adviser, Investment Adviser Representative, Broker-Dealer, and Broker-Dealer Agent licenses/registrations and processes federally covered adviser notice filings through CRD/IARD. A mixed DoBS securities-class total exceeding 200,000 is not an investment-adviser count. This page is research evidence, not legal advice about whether a specific firm was required to register. Verify the current official record.

Always verify current official records. This is not legal advice and does not determine whether any particular adviser must register.

Current verification paths

Current firm status comes from accepted IAPD/SEC data or official current IAPD, BrokerCheck, or Pennsylvania DoBS guidance. Interactive search was not enumerated. Search-only is not zero.

Pennsylvania DoBS enforcement research path

Coveo hub DOBS-Enforcement Orders returned 1,525 PDF documents. Metadata does not include docket number, industry/program, or CRD. The catalog mixes banking, mortgage, and securities. Securities-only and IA-only counts remain UNKNOWN, not zero. Filename tokens are not a source-native securities class. Unique matter identity was not invented. No PDFs downloaded. No name-only CRD attachments.

Coverage: ACQUIRED_CURRENT_SNAPSHOT. Complete securities-only and IA-only enforcement counts are unknown — not zero. This ticket attached 0 exact CRD records and opened 0 PDFs; those are execution counts, not an adviser-action census. Name-only is unsafe. Order to Show Cause is not a final finding. Consent is not a conviction. No action found is not a clean record.

Pennsylvania DoBS Enforcement Orders

What this page does not mean

  • 99 Pennsylvania state ERA reporting firms are a separate source-defined class from the 864 approved Pennsylvania state-registered IA firms. ERA is not an RIA.
  • It does not say Pennsylvania has one investment-adviser total, and it does not use the mixed DoBS 200,000+ securities-class figure as advisers.
  • Philadelphia, Pittsburgh, Allegheny, and Montgomery County are not InvestorTrustHub routes.
  • RAUM is not performance. Complaint is not a violation. A DoBS order is not an IA disciplinary census.
  • Search-only is not zero. No Trust Score. No ranking.