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ResetPrintSaveOFFICE OF THE SECRETARY OF STATE JESSE WHITE Secretary of StateRegistered Investment Adviser Designated Principal(s) Form 2016 Please complete and Email the form to renewal2016@ilsos.net

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How to fill out registered investment adviser designated

01

Download the Form ADV from the Securities and Exchange Commission (SEC) website.

02

Fill out Part 1 of Form ADV with basic information about your firm, including ownership structure, assets under management, and services provided.

03

Fill out Part 2 of Form ADV with information about your firm's services, fees, conflicts of interest, and disciplinary history.

04

Submit the completed Form ADV electronically through the Investment Adviser Registration Depository (IARD) system.

Who needs registered investment adviser designated?

01

Any individual or firm that provides investment advice for a fee and meets certain thresholds set by the SEC or state securities regulators.

02

Registered investment advisers designated need to comply with specific regulations and reporting requirements to operate legally.

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What is registered investment adviser designated?

Registered investment adviser designated is a form filed with regulatory authorities by a registered investment adviser firm.

Who is required to file registered investment adviser designated?

Registered investment adviser designated must be filed by all registered investment adviser firms.

How to fill out registered investment adviser designated?

Registered investment adviser designated can be filled out electronically through the regulatory authority's online portal.

What is the purpose of registered investment adviser designated?

The purpose of registered investment adviser designated is to provide regulatory authorities with information about the registered investment adviser firm.

What information must be reported on registered investment adviser designated?

Information such as the firm's assets under management, number of clients, fee structure, and key personnel must be reported on registered investment adviser designated.

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