Logins for Advisers
By Meghan Sundquist, Compliance Associate, with contributions from Betsy Harker, Compliance Associate, Joe Reilly, Compliance Manager, and Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant
More Technology, More Logins
“Technology” has felt like a buzzword for a long time now. In many ways, it has completely transformed our world, including how we do business. As more of the financial industry continues to move online, the processes to set up logins, IDs, and delegations can feel more complicated. To assist, we have put together a guide on some common logins for Advisers. You’ll find links, how-tos, and other resources. If there are other topics like this you want to hear about, let us know! Reply to this email campaign or leave us a comment or message on LinkedIn. We’d love to hear from you.
Now, let’s get into logins.
Note: This information is current as of May 2026.
FINRA
Establishing an IARD Account
Let’s start with the basics – establishing your FINRA account is necessary for basic filings like U4, U5, and Form ADV.
Here are the steps:
Click on this link: https://www.finra.org/filing-reporting/entitlement-program/new-organization-saa-form.
You can select either sign electronically or download a PDF that you email.
a. Either way, there will be two links under each instruction below, but you will need to select the highlighted link titled “New Broker-Dealer, Investment Adviser and Regulator (New Organization Super Account Administrator)”
b. You will select the Investment Adviser (IA), fill out firm name and contact information
c. If you are both the signer and SAA you will need to answer the two questions on the first page to describe your specific situation.
After submitting, you will receive three emails that allow you access to IARD.
Creating a New User Account in FINRA
Once your account is set up, you’ll want to be sure to add either employees or third-party consultants as a user who will be submitting filings, adding funds, tracking CE, or viewing other information contained in the account. Here are some steps to get you started. You can also go to https://www.finra.org/filing-reporting/entitlement/reference-guide#section6 for more information.
Login with your Super Account Administrator (SAA) or Account Administrator (AA) information > gateway.finra.org
Select the “Admin” icon – which should be in the blue bar on the left-hand side of your screen. The symbol is a person with a settings gear.
Click “Search Accounts.”
Click “CREATE NEW ACCOUNT” in the top right-hand corner.
Fill in all areas with at least an * and generate User Credentials for the new user.
a. When the User ID is generated, the “CREATE DRAFT” button in the bottom, right-hand corner of your screen will be enabled.
Click “CREATE DRAFT.”
Set up entitlements
a. Select the “Entitlement and Access Management” tab at the top of the screen and navigate to “Edit Entitlements” under the Entitlements section.
b. Click “Expand All” on the right-hand corner of the Entitlements section and ensure you select each individual entitlement box within the sections you wish to grant the user permission. If you want the user to have the ability to submit filings, please provide both “User” AND “Admin” rights for at least the following:
i. Account Management
ii. CRD (applicable for U4 and U5)
iii. IARD (applicable for ADV and ADV-W)
iv. PFRD (applicable for Form PF only)
After assigning the required access, click “ACTIVATE ACCOUNT.”
a. Once activated, the account owner will receive 2 separate emails with their User ID and a link to activate their password.
b. After the account is activated, the account Status will change to Active and the administrator can then modify/edit the account to update user information and/or add additional entitlements to the account.
IARD Renewal Process
Each year during the renewal process, which is posted on the front page of IARD.com, SAAs for firms with more than one user and/or administrator account must certify that individuals have the appropriate level of access to FINRA Systems required to perform their job responsibilities. Organizations with only an SAA account and no other users or administrators have the option to certify but are not required. An email will be provided to the SAA to remind them of this process with a link to access the appropriate page on FINRA. Once logged in the SAA will select the button “Start Certification” and if no changes need to be made select “Certify Users”. Otherwise, this is the opportunity for the SAA to adjust the users before certifying them.
EDGAR
EDGAR ID Credentials
If you don’t have EDGAR Next credentials, you’ll need to start there first. We recommend submitting well in advance of any filing deadlines as it can take a week or more for the SEC to issue your login credentials. Go to https://www.sec.gov/submit-filings/filer-support-resources/how-do-i-guides/prepare-submit-my-form-id-application for instructions and details on applying for your EDGAR Form ID. EDGAR access is necessary for Form D, 13F, 13H, 13G, 13D, and Form N-PX to name the more common filings for investment advisors.
EDGAR Next Delegation
Set up a Login.gov account with your work email, if you don’t already have one. Under EDGAR Next, every EDGAR account is linked to an individual Login.gov account.
Go to the EDGAR Filer Management website and login using your Login.gov account
Once you are logged in, go to the “Apply for EDGAR Access” tab and select “New EDGAR account”
Complete the Form ID application online following the instructions.
Save the completed application.
a. Save the “eis” download file – you can use it to finalize the application (otherwise you have to re-enter everything).
Print the application including headers and footers.
Have the paper application signed and notarized by the person listed as the “Authorized Individual” on Part 5 of the Form ID
a. The notary cannot be the same individual as an account administrator
Save the notarized document as a pdf.
Go back into EDGAR Filer Management, select “Apply for EDGAR Access/Resume and submit application.”
Open the previously saved eis file and upload the pdf document. Make sure the file name begins with a letter and is all lower-case letters or numbers, with no symbols or spaces.
Click Review & Print and then Submit Form ID
Save the accession number in case you need to contact EDGAR staff with questions.
You should receive an acknowledgement email after you submit the Form ID that will also have the accession number.
SEC will review and email you if the application is approved or suspended pending correction of an error. You can also contact EDGAR to get the status.
Note: If you have issues uploading the pdf document or receive a different error code, call EDGAR filer support at (202) 551-8900. SCS can also help you with troubleshooting issues.
After you obtain the EDGAR credentials, delegate filing authority to the appropriate filer, if you use another party to complete your filing:
Log into Filer management using your login.gov credentials https://www.filermanagement.edgarfiling.sec.gov/
Select the filer in “My Accounts”
Go to “Manage delegations and User Groups”
Add delegation to XYZ – CIK Number
EDGAR Next Annual Confirmation
Once a year, you may receive an email something like “Dear Susan Smith, Account Administrator for Smith Advisors, LLC, CIK#: The filer’s annual confirmation has expired. The filer is now within the one-time grace period to complete annual confirmation prior to deactivation of the filer’s EDGAR account.” It is now time to submit your annual confirmation.
Log intohttps://www.filermanagement.edgarfiling.sec.gov/ using your Login.govcredentials.
Under “My Accounts,” you will see the filer names. Under Actions on the right-hand side, click the three dots, then click “Annual Confirmation.”
Finally, click the Annual Confirmation box that appears on the next screen.
NASAA EFD
If you need to file Blue Sky filings for a private fund you manage/advise, you will need to set up an account on the NASAA Electronic Filing Depository. Here are the steps:
Go to https://nasaaefd.org/Account/Register?ReturnUrl=%2fDefault.aspx.
There will be two “Register” options. Click the one under Filer/Issuer.
Enter your Login Name (username), Email Address, and Password.
Accept the terms and review the Privacy Policy.
Click Register.
Once logged in, you can submit your filings from Filers Home. To learn more about Form D and Blue Sky filings, see our post here.
Conclusion
We hope the post can act as a starter guide for setting up important accounts and logins applicable to your firm. Pleasekeep in mind that there may be additional websites and filings required for your firm that are not covered in this article. If you have a question and are a current client of SCS, please reach out to your SCS contact. We’d be happy to discuss any business changes or current practices or investment offerings with you to ensure all applicable filings are submitted timely. If you are not yet a client of SCS but are looking for assistance with your filings, we do offer that as a stand-alone service. Please reach out here to set up an exploratory call with one of our lead consultants!
