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OMB APPROVAL OMB Number: 3235-0049 Expires: October 31, 2013 Estimated average burden hours per response 10.60 FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Form.

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Each year you must (i) deliver, within 120 days of the end of your fiscal year, to each client a free updated brochure that either includes a summary of material changes or is accompanied by a summary of material changes, or (ii) deliver to each client a summary of material changes that includes an offer to provide a ...

Under the SEC's guidance, an adviser must be able to show that it meets three requirements when effecting delivery electronically: notice, access, and evidence of delivery (or, in lieu of evidence of delivery, informed client consent). Notice.

You can get a free copy of Form ADV through the Investment Adviser Public Disclosure website at adviserinfo.sec.gov. You can also check state regulator websites where the advisor operates.

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.

10. Can Form CRS be delivered electronically? Yes, Form CRS may be delivered to clients electronically.

The Form ADV Part 2 may be delivered in pdf format if the client can easily access the documents; for example, your investment adviser could inform the client of the requirement to download pdf files and provide the instructions for downloading pdf viewer software at no cost.

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

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