Get Form Adv (paper Form) Instructions - Sec.gov

The FORM ADV is essential for investment advisers to register with the SEC and provide relevant information about their business. This guide offers comprehensive and user-friendly directions on how to fill out the FORM ADV effectively, ensuring compliance with regulatory standards.

Follow the steps to complete your FORM ADV accurately.

1. Press the ‘Get Form’ button to obtain the FORM ADV document and open it in your preferred editor.
2. Provide your identifying information in Item 1. This includes your legal name, primary business name, SEC file number, and business address.
3. Fill out Section 1.B with any other names you may operate under and the jurisdictions in which you conduct business.
4. Complete Section 1.F by listing all locations where you conduct investment advisory services. Be sure to include details like address, contact numbers, and types of services offered.
5. Disclose your website addresses in Section 1.I, including any relevant social media profiles.
6. In Item 5, indicate the number of employees and clients, as well as the types of clients you serve.
7. Detail the advisory services you provide in Item 5.G and disclose any additional business activities in Item 6.
8. Provide information on your financial industry affiliations and any disclosures required about your business relationships in Item 7.
9. Answer questions regarding regulatory actions or disciplinary history in Item 11, ensuring transparent reporting.
10. Review all sections for accuracy before saving your finalized form. You can then download, print, or share the completed FORM ADV as required.

Start filling out your FORM ADV online today to ensure compliance!