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.SEC FORM CCD
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What is ia-m?
IA-M refers to the Investment Adviser’s Form ADV Part 1A.
Who is required to file ia-m?
Any investment adviser registered with the Securities and Exchange Commission (SEC) or a state securities regulator is required to file IA-M.
How to fill out ia-m?
IA-M can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of ia-m?
The purpose of IA-M is to provide key information about the investment adviser's business operations, fees, services offered, and any disciplinary history.
What information must be reported on ia-m?
IA-M requires information about the investment adviser's business, ownership, clients, employees, fees, financial industry affiliations, and potential conflicts of interest.
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