Report Elements Level I Level II Level III Level IV
Address History and Social Security Number Trace
Corporate Records
Fictitious Business Name Statements
Securities and Exchange Commission (SEC) Proxy Statements for Officer/Director Affiliation Records
Business Information Report
Media Sources
Company Website Review
Civil Litigation Records
National Civil Database Records (company only)
Criminal Felony Records
Criminal Misdemeanor Records
Federal Court – Civil Records
Federal Court – Nationwide Civil Records (company only)
Federal Court – Criminal Records
Bankruptcy Records
Tax Lien Records – Federal, State and County
Judgment Records – Debtor
Uniform Commercial Code (UCC) Tax Lien and Judgment Records
County Recorder’s Index
Federal Securities and Self-Regulatory Organization (SEC, FINRA, CFTC & NFA) Registration and Violation Records
State Department of Securities Registration and Violation Records State Insurance Regulators
State Insurance Regulators
Regulators of Banks, Savings Associations and Credit Unions (federal and local)
United States Postal Service False Representation Orders
Federal Excluded Parties Index
International Fraud and Politically Exposed Persons (PEPs) Database; includes records from the Office of Foreign Assets Control (OFAC)
Professional License/Certificate/Membership Verification (U.S. institutions)
Education Verification (Highest degree, U.S. Institutions)
State Sex Offender Registry Records
Panama Papers Records


Fees are based on record searches of one subject (company or individual) in one jurisdiction and a 10-year scope.
“Jurisdiction” refers to a geographical area, such as a county or federal district, within which a legal body/court
adjudicates cases.

Supplemental Elements

Consumer Credit Report (signed release required)
Industry-Specific Regulatory Authority Records
Form ADV Retrieval/Information
Employment Verification (3 prior employers, signed release required)
Additional Professional License/Certificate/Membership Verification
International Professional License/Certificate Verification
International Education Verification
Driving Record (signed release required)
Property Records
Document Retrieval
Additional Court Jurisdictions
Civil Litigation Records
Criminal Felony Records
Federal Court – Civil Records
Federal Court – Criminal Records
Bankruptcy, Tax Lien, Judgment Records

Other Fees

Searches of names other than those provided by the subject or appearing on a driver’s license or state identification card will incur additional charges that will be determined on a case-by-case basis.

Search strategies may be customized to attain client objectives, and will be priced on a case-by-case basis.

Standard turnaround time:
Levels I and II: six
 business days;
Levels III and IV: seven
 business days.

Expedited turnaround time:
25-percent surcharge of total fee.

Notification of negative findings is provided immediately upon identification with the subject.
Level IV Report includes SEC Rule 506 Exemption “Disqualifying Event” records