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OMB APPROVAL OMB Number: 3235-0049 February 28, 2011, Expires: Estimated Average burden Hours per response..........4.07 FORM ADV Uniform Application for Investment Adviser Registration Part II Page

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What is form adv uniform application?

The Form ADV Uniform Application is a form that investment advisers must file with the Securities and Exchange Commission (SEC) and state securities authorities. It provides information about the investment adviser's business, ownership, clients, employees, business practices, and any disciplinary events.

Who is required to file form adv uniform application?

Registered investment advisers (RIAs) and exempt reporting advisers (ERAs) who meet certain thresholds are required to file the Form ADV Uniform Application. RIAs managing over $100 million in assets must file with the SEC, while those with less must file with state securities authorities. ERAs managing less than $150 million in assets must also file with the SEC.

How to fill out form adv uniform application?

Form ADV Uniform Application can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. The form consists of several parts, including information about the investment adviser's business, its affiliates, and its clients. Detailed instructions are provided with the form to guide advisers through the process.

What is the purpose of form adv uniform application?

The purpose of the Form ADV Uniform Application is to provide regulators and investors with key information about investment advisers. It helps regulators assess the potential risks and compliance of investment advisers, and it helps investors make informed decisions when choosing an investment adviser.

What information must be reported on form adv uniform application?

The Form ADV Uniform Application requires investment advisers to report information such as their business activities, their ownership structure, their client base, their fee arrangements, their employees, and any disciplinary events or conflicts of interest. The form also requires information about the adviser's affiliations with other financial firms.

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