Get the free FORM ADV (Paper Version)

This document serves as a uniform application for investment adviser registration with the SEC and states by detailing the necessary information about the adviser, their business practices, and compliance

How to fill out form adv paper version

How to fill out FORM ADV (Paper Version)

1. Obtain the latest version of FORM ADV from the SEC website.
2. Fill out Part 1 by providing your firm’s information, including the legal name, address, and contact details.
3. Complete Part 2 by disclosing information about your business practices, fees, and investment strategies.
4. Provide details in Schedule A and B, which include information about your firm's control persons, disciplinary history, and business affiliations.
5. Affix your signature and date at the end of the form to certify the accuracy of the information provided.
6. Make copies of the completed form for your records.
7. File the form with the appropriate regulatory authority as required.

Who needs FORM ADV (Paper Version)?

1. Investment advisors who provide advice to clients for compensation.
2. Firms that manage investment portfolios for clients.
3. Businesses that are required to register under the Investment Advisers Act of 1940.
4. Advisors that are exempt from registration but still need to file to fulfill specific regulatory obligations.

People Also Ask about

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.

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.

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.

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.

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.

For pdfFiller’s FAQs

What is FORM ADV (Paper Version)?

FORM ADV (Paper Version) is a regulatory form that investment advisers must file with the Securities and Exchange Commission (SEC) and/or state regulators. It provides important information about the adviser's business, ownership structure, and the services offered to clients.

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

Investment advisers that manage assets above a certain threshold or that have clients in states requiring registration must file FORM ADV, including both state and federal investment advisers.

How to fill out FORM ADV (Paper Version)?

To fill out FORM ADV (Paper Version), advisers need to complete sections that include information about the advisory firm, such as its services, fees, and the backgrounds of key personnel. The form consists of multiple parts that must be accurately filled out and filed with the appropriate regulatory authorities.

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. It allows regulators and the public to obtain important information about investment advisers, helping clients make informed decisions.

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

FORM ADV (Paper Version) requires information such as the adviser's name, location, organizational structure, types of advisory services offered, fee structures, disciplinary history, and details about ownership and control.