What is Form ADV?

Form ADV is a more detailed filing required by the SEC or state regulators for investment advisers. It is split into two parts: Part 1 and Part 2. Part 1 contains basic information about the firm, such as its ownership, business practices, and disciplinary history. Part 2 serves as a brochure that provides in-depth disclosures about the firm’s services, fees, conflicts of interest, and the qualifications of its personnel. This form is intended to give prospective clients a clear and comprehensive understanding of the firm’s operations and potential risks. Investment advisory firms must file Form ADV with regulators and update it regularly, ensuring that the information is current and accurate for clients. Form ADV Part 2 must be provided to all clients prior to executing any agreement for services.

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