ADV Form

ADV Form

A form that all investment advisers who manage more than $25 million in assets are required to file with the SEC. The form discloses the adviser's education, fees, investment strategies, disciplinary actions (if any), and other information.
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55 billion on its most recent ADV form, which was filed with the SEC last month.
And if they default, they will need to disclose this on their ADV form if an RIA, and possibly on their U4 if a registered rep.
Most of the states require completion of the ADV form or their own version of the ADV form; most also have an exam requirement and a filing fee.
The list uses data from the companies' ADV forms filed with the SEC, which registered investment advisers file pretty much whenever they want.