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District of Columbia Adviser Affidavit

Category:
District of Columbia Secretary of State - Blue Sky - Securities Licensing
State:
District of Columbia
Control #:
DC-SKU-3004
Format:
PDF
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Description

Adviser Affidavit The District of Columbia Adviser Affidavit is a legal document that is required by the Securities and Exchange Commission (SEC) for registered investment advisers operating in the District of Columbia. It is an attestation by the adviser that it is in compliance with the SEC's rules and regulations and that it is properly licensed to do business in the District. The Adviser Affidavit must be filed annually, and the contents of the affidavit must be updated to reflect any changes in the adviser's business. There are two types of District of Columbia Adviser Affidavits: Form ADV-DC and Form ADV-DC/A. Form ADV-DC is the standard form and is used by most investment advisers. Form ADV-DC/A is an alternate form that can be used if the adviser has more than one office in the District.

The District of Columbia Adviser Affidavit is a legal document that is required by the Securities and Exchange Commission (SEC) for registered investment advisers operating in the District of Columbia. It is an attestation by the adviser that it is in compliance with the SEC's rules and regulations and that it is properly licensed to do business in the District. The Adviser Affidavit must be filed annually, and the contents of the affidavit must be updated to reflect any changes in the adviser's business. There are two types of District of Columbia Adviser Affidavits: Form ADV-DC and Form ADV-DC/A. Form ADV-DC is the standard form and is used by most investment advisers. Form ADV-DC/A is an alternate form that can be used if the adviser has more than one office in the District.

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