Get the free FORM ADV (Paper Version) - Securities and Exchange Commission

OMB APPROVAL APPENDIX A OMB Number: 3235-0049 Expires: Estimated average burden hours per response .................... 11.20 FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION

How to fill out form adv paper version

How to fill out Form ADV paper version:

1. Start by obtaining the paper version of Form ADV. Visit the U.S. Securities and Exchange Commission (SEC) website or contact the SEC to request a copy.
2. Begin by filling out Section 1 of the form, which includes information about the investment adviser. Provide details about the adviser's name, address, contact information, and any previous registrations.
3. Move on to Section 2 of Form ADV where you will provide additional information about the adviser's business, including the types of services offered, the number of clients, and the assets under management.
4. Next, complete Section 3 of the form, which covers disciplinary information. Disclose any disciplinary actions taken against the adviser or its employees within the past ten years.
5. Proceed to Section 4, where you will provide information about the adviser's direct and indirect ownership, including the names and addresses of any individuals or entities holding a significant stake in the firm.
6. Fill out Section 5, which focuses on the adviser's additional offices. Provide the addresses and contact information for any branch offices operated by the adviser.
7. Complete Section 6, which deals with the adviser's other business activities. Disclose any outside activities or affiliations that may pose a potential conflict of interest.
8. Move on to Section 7, where you will provide information about the adviser's financial industry affiliations. List any associations or memberships that the adviser holds.
9. Finally, review all the information provided on the form to ensure accuracy and completeness. Sign and date the form to certify its accuracy.

Who needs Form ADV paper version?

1. Investment advisers who are not eligible to use the SEC's Electronic Filing System (EFS) must use the paper version of Form ADV.
2. Some advisers may be exempted from electronic filing due to technological limitations, temporary waivers, or other special circumstances.
3. Investment advisers with unique situations or specific requirements may also opt to use the paper version if it better suits their needs.

Remember, it is essential to consult the SEC's guidelines and regulations regarding Form ADV to ensure compliance with all necessary filing requirements.

For pdfFiller’s FAQs

What is form adv paper version?

Form ADV paper version is a hard copy version of Form ADV which is used to register as an investment advisor with the SEC.

Who is required to file form adv paper version?

Investment advisors who are unable to file electronically or choose to submit a paper version are required to file Form ADV paper version.

How to fill out form adv paper version?

To fill out Form ADV paper version, the investment advisor must manually complete all the required sections of the form and submit it by mail to the SEC.

What is the purpose of form adv paper version?

The purpose of Form ADV paper version is to provide the SEC with detailed information about the investment advisor and its business operations.

What information must be reported on form adv paper version?

Form ADV paper version must include information such as the advisor's background, business practices, conflicts of interest, fees, and disciplinary history.

How do I make changes in form adv paper version?

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