Terms of use

Research information, not professional advice

The directory presents public filing information and transparent calculations for general research. It does not provide investment, legal, tax or other professional advice, a recommendation to hire a firm or buy a security, or an assessment of a firm’s suitability, safety or compliance. No adviser-client relationship is created by using the site.

Reported assets under management and changes in those assets are not investment performance or organic growth. Changes can reflect markets, client flows, transactions, reporting changes and other causes. A notice filing does not establish an office location or prove current registration.

Source dates, errors and verification

Records are dated snapshots, may be incomplete, and can change after their source month. Historical names and organizational events may not establish legal continuity or a firm’s founding date. Missing information does not mean zero, absence of an activity or wrongdoing.

You are responsible for independently verifying the accuracy, completeness, timeliness and suitability of information before relying on it, and for your own research, due diligence and decisions. Check the original filings and current official adviser record, compare source dates and definitions, and obtain qualified professional advice when appropriate. Do not use RIA Monitor as your sole source for an investment, business, legal or regulatory decision. This responsibility does not remove any duty or liability that applicable law imposes on GreenDOG Tech. Read our data methodology for definitions and limitations. RIA Monitor is independent of, and is not affiliated with or endorsed by, the SEC, FINRA or any listed firm.

Data sources and how to verify them

• SEC investment adviser datasets and monthly archives supply our reported firm facts, historical observations and notice-filing jurisdictions. The directory uses July/August 2026 snapshots; the historical archive currently spans June 2006 through September 2026, with gaps. Use each profile’s source month and each chart or map’s SEC source link to inspect the underlying extract.
• Investment Adviser Public Disclosure (IAPD) provides official adviser records and available Form ADV filings. Search by CRD or follow “View current official adviser record” on a firm’s profile. Use it to check newer filings and registration information; it is a verification destination, not a claim that our monthly directory is synchronized with the live record.
• SEC Form ADV data files provide principal and additional-office addresses. Office evidence identifies the filing date, table and row. Map coordinates are approximate locations derived from the U.S. Census geocoder; they do not verify current occupancy. Review the listed addresses and coverage limits before relying on an office map.
• Firm-published sources, where used for facts such as a current brand’s founding date, are separately identified by a “Firm source” link and source date in the firm overview. Such statements are attributed to the firm, not represented as SEC findings.
• Growth rates and comparisons are our calculations from the stated source observations. Open “Calculation and source values” or the historical evidence table to check inputs and periods; these calculations are not independently reported regulatory facts.

Source publishers may correct records after our snapshot. If you find a discrepancy, consult the original publisher and report it through the firm profile’s data-issue contact. A source link or attribution does not guarantee the source’s accuracy or continuing availability.

Use of the service

You may browse the public directory for lawful research. Do not attempt to access private administration or other users’ information, bypass access or security controls, interfere with the service, or misrepresent data from the site. Any attribution or license requirements that apply to third-party material remain applicable.

Content and external links

Firm names and marks belong to their respective owners and are used for identification. We do not claim ownership of underlying U.S. government records. Original site design, software and explanatory content, and any licensed third-party material, remain subject to applicable rights. Links to external sites are provided for reference and do not imply endorsement; we do not control their content or availability.

Availability and limitations

The service is provided on an “as available” basis. To the extent permitted by applicable law, we do not warrant that information is complete, current or error-free, or that access will be uninterrupted. Nothing in these terms excludes rights, duties or remedies that cannot lawfully be excluded. These terms do not restrict reporting concerns to a regulator or seeking accessibility assistance.

Limitation of liability

To the fullest extent permitted by applicable law, and subject to “Rights that remain protected” below, GreenDOG Tech’s total aggregate monetary liability arising out of or relating to RIA Monitor or these terms will not exceed the fees you actually paid GreenDOG Tech for the RIA Monitor service giving rise to the claims during the twelve (12) months immediately before the first event giving rise to those claims.

This is a combined cap, not a separate cap for each claim, incident or legal theory, and applies whether a claim is based on contract, tort (including negligence) or another theory, subject to the exceptions below. Fees for unrelated GreenDOG Tech products or services are not included. If you paid no fees for the affected RIA Monitor service during that period, including when you use it only for free, the amount of this contractual cap is $0. That amount does not eliminate liabilities or remedies that cannot lawfully be limited or excluded.

Excluded damages

To the fullest extent permitted by applicable law, and subject to the same exceptions below, GreenDOG Tech will not be liable for indirect, incidental, special, consequential, exemplary or punitive damages, including lost profits, revenue, business opportunities, goodwill or data to the extent those losses fall within these categories. This exclusion applies even if GreenDOG Tech was advised of the possibility of such damages.

Rights that remain protected

The cap and damage exclusions above do not apply to liability for GreenDOG Tech’s own fraud, willful injury, violations of law, gross negligence or willful misconduct, or to any other liability that applicable law prohibits limiting or excluding. Mandatory consumer, privacy, accessibility and other statutory rights and remedies remain protected. These terms do not restrict reporting concerns to a regulator or requesting accessibility assistance.

If applicable law does not allow a particular limitation or exclusion, that provision applies only to the extent permitted by law. The remaining provisions continue to apply to the extent they are lawful and enforceable.

Paid services and acceptance

The current public directory does not offer paid checkout. If paid services are offered later, the applicable terms will be presented for express acceptance before an order is completed. A separately agreed written service agreement controls where it expressly conflicts with these terms for that service.

Corrections and contact

For data issues, use the contact on the relevant firm profile and include its CRD, source month and supporting public evidence. For other questions, contact kyle@greendogtech.com. Our privacy policy explains how messages and visitor information are handled, and our accessibility page explains how to request assistance.

We may update these terms as the service changes. Updates will appear on this page with a revised date and version. Additional notice and renewed acceptance will be obtained where required by law. We do not apply new liability limitations retroactively to claims arising before the updated terms take effect.