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This document serves as the Uniform Application for Investment Adviser Registration, detailing the registration process for investment advisers, including identifying information, organizational structure, business activities, financial industry affiliations, and private fund reporting. It aims to ensure compliance and transparency within the investment advisory industry.
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What is form adv?
Form ADV is a form used by investment advisers to register with the SEC and state regulators. It provides information about the adviser's business, services, and fees.
Who is required to file form adv?
Investment advisers who manage more than $25 million in assets or who advise a registered investment company are required to file Form ADV.
How to fill out form adv?
Form ADV consists of multiple parts. Advisers must provide details about their business structure, ownership, clients, and any legal issues. It can be completed online through the IARD system.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency and disclosure about an investment adviser's qualifications, business practices, and conflicts of interest to ensure investor protection.
What information must be reported on form adv?
Reported information includes the adviser's name, address, ownership structure, business practices, compensation methods, and any disciplinary history or legal issues.
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