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Part 2 requires investment advisers to prepare narrative brochures that include plain English disclosures of the adviser's business practices, fees, conflicts of interest, and disciplinary information. The brochure is the primary disclosure document for investment advisers and must be delivered to advisory clients.
The Investment Adviser Public Disclosure (IAPD) database contains registration documents filed by investment adviser firms that register electronically using the Investment Adviser Registration Depository (IARD).
Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC's Investment Adviser Public Disclosure (IAPD) website.
SEC Form ADV Part 1 is the primary disclosure document all registered investment advisors must complete to provide basic information about their business. Part 2 is a narrative brochure for clients to navigate more efficiently, so they understand more about the investment advisor.
What Is SEC Form ADV Part 2A and 2B? Part 2 of SEC Form ADV serves as a brochure for the firm. It provides disclosures about key information about the company, including its business practices, fees, conflicts of interest, and any discipline that it faced in the past.
Related Person: Any advisory affiliate and any person that is under common control with. your firm. [ Used in: Part 1A, Items 7, 8, 9; Schedule D; Form ADV-W, Item 3; Part 2A, Items. 10, 11, 12, 14; Part 2A, Appendix 1, Item 6]
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.
Form ADV is officially called the Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Adviser. Any investment advisor that manages more than $25 million must submit this registration document to the U.S. Securities and Exchange Commission and to state securities authorities.