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This document serves as an application and report for investment adviser registration in compliance with SEC regulations. It includes identifying information about the adviser, business structure, compliance officers, and details regarding the regulatory assets under management. It also mandates truthful completion and upkeep of the information provided, emphasizing the legal implications of false statements.
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What is form adv?
Form ADV is a regulatory form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulators.
Who is required to file form adv?
Investment advisers who manage client funds or provide investment advice must file Form ADV.
How to fill out form adv?
Form ADV is filled out electronically through the Investment Adviser Registration Depository (IARD) system, providing detailed information about the adviser, their business practices, and fees.
What is the purpose of form adv?
The purpose of Form ADV is to inform clients about the adviser’s business, services, fees, and any disciplinary history.
What information must be reported on form adv?
Form ADV requires reporting information such as the adviser’s business structure, ownership, client types, fees, and any disciplinary events.
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