Utah Form ADV-E is an electronic filing form used by investment advisers registered with the Utah Division of Securities. It must be filed annually and is used to update the information previously provided on the Form ADV. The form includes information about the investment adviser's personnel, clients, and business practices. There are three types of Utah Form ADV-E forms: Part 1A, Part 1B, and Part 2. Part 1A includes information about the firm's business operations, financials, and legal and compliance matters. Part 1B includes information about the investment adviser's personnel, clients, and business practices. Part 2 includes information about the investment adviser's performance and advertising activities.
Utah Form ADV-E
State:
Utah
Control #:
UT-SKU-0032
Format:
PDF
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Description
Form ADV-E
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FAQ
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.
This Form must be completed by investment advisers that have custody of client funds or securities and that are subject to an annual surprise examination. This Form may not be used to amend any information included in an investment adviser's registration statement (e.g., business address). 1.
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-E is used as a cover page for a certificate of accounting of securities and funds of which the investment adviser has custody (surprise exam report). Form ADV-E contains both information about the adviser and the surprise exam conducted.
The accountant must file the required surprise examination report within 120 days of the surprise examination and, upon resignation or dismissal, will file a Form ADV-E that may be required to include a statement terminating the surprise examination agreement with the firm.
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.
Who Is Responsible for Filing Form ADV-E? Investment advisers that have custody of client financial assets or securities are required to file Form ADV-E, which makes sure advisers adhere to regulations.
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.