Get the free Form ADV (Paper Version)

This document provides supplemental instructions for electronic filing of Form ADV, outlining SEC and state requirements for investment adviser registration.

How to fill out form adv paper version

How to fill out Form ADV (Paper Version)

1. Obtain a copy of Form ADV from the SEC or your state regulator.
2. Read the instructions carefully to understand the requirements.
3. Fill out Part 1 with general information about your firm, including its name, address, and contact information.
4. Complete Part 1A by providing details about business activities, clientele, and assets under management.
5. If applicable, fill out Part 1B, which requires information specific to the type of advisor (e.g., state-registered or federal-covered).
6. Complete Part 2, which serves as the 'Brochure' and includes a description of services, fees, and investment strategies.
7. Sign the form and include the date.
8. Make copies for your records and submit the original to the appropriate regulatory authority.

Who needs Form ADV (Paper Version)?

1. Investment advisors who are required to register with the SEC or state regulators.
2. Firms that manage client assets and provide investment advice.
3. Advisors seeking to disclose their business practices and potential conflicts of interest.

People Also Ask about

Can you view historical ADV filings?

Historical Filing: This feature allows users to view and/or print previously submitted Form ADV-W filings (full filings, or filings with changes in “redline mode”). Firms can only view filings that they have submitted.

How do I access ADV?

To view the latest ADV filing for a specific adviser, please visit the Investment Adviser Public Disclosure website. The SEC does not have access to data for state-registered investment advisers. FINRA maintains state data.

Are form ADV filings public?

The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available.

What is the difference between ADV 2A and 2b?

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

Is Form ADV publicly available?

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC's Investment Adviser Public Disclosure (IAPD) website.

How do I find a company's form ADV?

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC's Investment Adviser Public Disclosure (IAPD) website.

For pdfFiller’s FAQs

What is Form ADV (Paper Version)?

Form ADV (Paper Version) is a regulatory document that investment advisors must file with the SEC or state regulatory authorities. It provides essential information about the advisor's business, services, fees, and operations.

Who is required to file Form ADV (Paper Version)?

Investment advisors who manage more than $25 million in client assets or that advise registered investment companies are required to file Form ADV. State-registered advisors depending on state law also need to file.

How to fill out Form ADV (Paper Version)?

To fill out Form ADV (Paper Version), advisors must complete various sections detailing their advisory services, regulatory history, ownership structure, and financial condition. It often involves financial disclosures and information about the individuals working for the advisor.

What is the purpose of Form ADV (Paper Version)?

The purpose of Form ADV (Paper Version) is to provide transparency in the investment advisory industry, allowing clients to make informed decisions about hiring an advisor by understanding the advisor's qualifications and business practices.

What information must be reported on Form ADV (Paper Version)?

Form ADV (Paper Version) requires reporting information such as the advisor's name and business address, details about the firm's ownership and control persons, types of advisory services offered, fee structures, and any disciplinary history.