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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 required form for investment advisors to register with the Securities and Exchange Commission (SEC) and state securities authorities. It is used to collect information about the advisor's business practices, fees, services, and disciplinary history.
Who is required to file form adv uniform application?
Investment advisors who manage $100 million or more in assets or who provide advice to investment companies are required to file the Form ADV Uniform Application with the SEC. Advisors who manage less than $100 million in assets must file with the state securities authorities.
How to fill out form adv uniform application?
The Form ADV Uniform Application is completed online through the Investment Adviser Registration Depository (IARD) system. Advisors must provide information about their business structure, clients, services, employees, compensation, and disciplinary history. It is important to review the instructions and guidelines provided by the SEC or state securities authorities before filling out the form.
What is the purpose of form adv uniform application?
The purpose of the Form ADV Uniform Application is to enable the SEC and state securities authorities to collect and analyze information about investment advisors. This information is used to regulate and supervise the advisory industry, protect investors, and maintain market transparency.
What information must be reported on form adv uniform application?
The Form ADV Uniform Application requires investment advisors to report information about their business structure, clients, advisory services, fees, compensation, disciplinary history, and conflicts of interest. Advisors are also required to report any legal or regulatory actions taken against them, as well as any financial or operational difficulties.
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