Form ADV

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.

Form ADV

An SEC form for reporting information about an investment adviser, including education, business, regulatory problems, services, and fees. The form has two parts, and an investor should read both prior to employing the services of an investment adviser.

Form ADV.

All investment advisory firms must register by filing a Form ADV either with the Securities and Exchange Commission if they manage $25 million or more in client assets or with the state securities regulator in the state where they principally work.

The form is divided into two sections. Part 1 provides information about past disciplinary actions, if any, against the adviser. Part 2 summarizes the adviser's background, investment strategies, services, and fees.

If an advisory firm is registered with the SEC, you can obtain copies of Form ADV at the SEC's Investment Adviser Public Disclosure (IAPD) website (www.adviserinfo.sec.gov).

Otherwise, you can request it directly from the adviser or your state securities regulator. You can find contact information on the website of the North American Securities Administrators Association (www.nasaa.org).

References in periodicals archive ?
For additional information about Hunt Investment Management, LLC, please see its Form ADV and brochure (Part 2A of Form ADV) available at https://www.adviserinfo.sec.gov.
In September 2014, the SEC instituted administrative cease-and-desist proceedings against The Robare Group, a registered investment adviser, and its two principal-owners (collectively with the adviser, TRG) for violations of Sections 206(1) and (2)1 and 2072 of the Advisers Act in connection with their failure to disclose to clients and the SEC on Form ADV or otherwise certain conflicts of interest created by a revenue-sharing agreement with a broker-dealer that provided execution, custody, and clearing services for TRGs advisory clients.
C2 Energy Capital, LLC's portfolio includes both securities and non-securities related investments, not all of which qualify as regulatory assets under management for purposes of Form ADV reporting.
There you will find the actual registration for filed by the IA (Form ADV Part 1A and Part 2A).
(73) Currently, primary soft dollar disclosures are housed in Form ADV, the main disclosure document for advisers.
* The New Form ADV: What Advisors Need to Know and Do
It is of extreme importance that investment advisors provide accurate and complete information when responding to these new questions on Part 1 of Form ADV.
The Form ADV that Westrock filed with the Securities & Exchange Commission in late March listed eye-popping assets of almost $1.1 billion.
One such Form ADV discloses that offering advice and selling product "involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties [of loyalty and prudence] of a registered investment advisor." Brokers should include the words "investment sales representative" in their title, rather than "registered representative," to indicate nonfiduciary status.
Advisers are also moving away from relying on industry forms-e.g., Form ADV or a 408(b)(2) disclosure statement-as the vehicle for revealing fees.
The data was gleaned from filings by RIAs on Securities and Exchange Commission Form ADV, which requires them to disclose their compensation, conflicts of interest information, and the registrations of their employees.
What's more, the robo-advisors face no artificial contraints of time or money, meaning they can not only fulfill the letter of the Investment Advisors Act (providing Form ADV Parts 1 and 2, among other things), they can transcend it by providing more robust disclosures and investor-education content.