InvestorTrustHub · South Carolina
The South Carolina Attorney General is ex officio Securities Commissioner. State investment adviser registration, notice filing, exempt reporting advisers, investment adviser representatives, broker-dealers, and agents are separate classes. This page does not publish one South Carolina adviser total. Registration status is source text, never an endorsement.
State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. They cannot be summed. Counts below use regulator jurisdiction code SC, not a main-office address. APPROVED and FILED are IAPD status text, not a quality judgment.
320
StateRgstn/Rgltr/@Cd=SC and @St=APPROVED. 321 StateRgstn rows include 1 CONDREST, which is not in this count. A South Carolina office alone does not establish state registration. 92 of these APPROVED firm CRDs also have a South Carolina main office in the state compilation. That overlap is not another population.
2,715
NoticeFiled/States/@RgltrCd=SC and @St=FILED. Notice filing is not South Carolina state IA registration. Every filed row in this extract is FirmType Registered, not ERA.
19
ERA/Rgltr/@Cd=SC and @St=ACTIVE. An exempt reporting adviser is not an SEC-registered RIA and not a state-registered IA.
122
Accepted SEC/IARD roster, 2026-08-27. Office geography is not South Carolina registration or notice filing, and this count was not recomputed as the published figure from the 2026-09-17 compilation. A separate MainAddr recount on that compilation was not used as this count.
Exact firm-CRD intersections from the 2026-09-17 jurisdiction filters, kept separate: state IA APPROVED ∩ notice FILED 1; state IA ∩ ERA 0; ERA ∩ notice 0. The accepted principal-office overlay has no CRD list in this publication, so it is not intersected here. Exact SEC-file intersections: NOT_ACQUIRED. No national adviser population was duplicated. IAPD state compilation · IAPD SEC compilation
The Securities Act treats broker-dealers, agents and investment adviser representatives as separate firm and person classes from state-registered adviser firms. FINRA BrokerCheck and IAPD are additional research paths. South Carolina bulk broker-dealer, agent and IAR rosters are NOT_ACQUIRED. A person CRD is not a firm CRD. An investment adviser representative is not a firm.
The Attorney General notices-and-orders index is organized by year page. This publication read the 2025 and 2026 pages: 16 linked documents in 2025 and 9 in 2026, 25 index rows. Those rows are documents, not findings and not one matter count. Older year pages were NOT_ACQUIRED. Missing older years are not zero. Printed dispositions partition those rows:
A cease-and-desist is not a final adjudication. A consent order keeps the source label consent order. An order to vacate is not a new violation. A summons and complaint is not an order. A final judgment posted on the index is not a state administrative order. The continuing-education requirement order is not an enforcement finding against a firm. 6 captions print a CRD. Those numbers were not copied and were not joined. Respondent names were not stored. PDFs were not downloaded. Exact adverse attachments: 0; name-only adverse joins: 0.
Provider-level examination rows were NOT_ACQUIRED. An examination is not a violation, and missing exam rows are not a clean examination history. Provider-level complaint rows were NOT_ACQUIRED. A complaint is not an enforcement finding.
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. IAPD jurisdiction filters: 2026-09-17, filtered 2026-10-05. Order index reviewed 2026-10-05. Snapshot generated 2026-10-05. There is no universal South Carolina securities as-of date.
State bulk registration, broker-dealer, agent and IAR rosters, older notices-and-orders pages, exact SEC-file intersections, provider exam rows and complaint rows: NOT_ACQUIRED. Existing canonical matches were not re-read from the firm spine, so spine membership of the 320 APPROVED state-IA firm CRDs stays unresolved. Net-new canonical firms created: 0. Graph writes: 0. Claim eligibility changes: 0. Charleston, Columbia, and Greenville stay statewide. No county or city pages, scores or adviser ranking.