UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION (Form ADV)
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Form ADV is a United States Securities and Exchange commission form used for registration of a professional investment advising agency. The form requires disclosure of investment styles, assets under management, and lead officers of the firm.
The Form ADV can be obtained through the Securities and Exchange commission’s website or by obtaining the documents through an SEC local office.
Form ADVs require extensive information about your financial advising firm, so ensure that you have all required information available before filling out the form. Check with the Securities and Exchange Commission for more information about the required filing.
1. The section which must be completed is Part 1A, which requires identifying information, contact information and office locations, and basic information about your firm.
2. In item 2, you must check the proper boxes indicating your registration with the SEC. Items 3, 4, and 5 will be used for stating your form of organization.
3. If you have any other business activities, they must be identified in item 6.
4. Continue through the form, checking the appropriately boxes which apply to your firm. If you are unsure of rules, definitions, or about specific questions, you can search through the SEC website or call a local branch to obtain help in filling out the form.
5. Once you have identified your information in items 1 through 11, you must now move on to schedules A, B, C, and D. These schedules require disclosure of all ownership interests in your financial advising firm. You must provide great detail in filling out the schedules disclosing all ownership interests.
6. Next, you must fill in the criminal disclosure and regulatory action reporting pages, which requires disclosure of any criminal charges against members of your firm. Full disclosure must be given or penalties may be imposed by the SEC.
7. If any civil judicial actions have been made against your firm, they must be disclosed in the appropriate reporting page.
8. Following completion of 1A, you must file part 1B, which is the uniform application for adviser registration.
9. Provide all of the information required in 1B, which is similar to information provided in 1A.
10. You must fill out all parts in 1B, including criminal, regulatory, and judicial actions disclosures.
11. Once completed, all advisers in your firm must sign the Form ADV in the final pages.
