Form ADV
E453751
Form CRS
U.S. securities regulation form
disclosure document
narrative brochure
regulatory filing
regulatory filing component
Form ADV is a mandatory disclosure document that investment advisers file with the U.S. Securities and Exchange Commission to provide detailed information about their business, services, fees, conflicts of interest, and disciplinary history.
Observed surface forms (3)
| Surface form | Occurrences |
|---|---|
| Form ADV Part 2 | 0 |
| Form ADV Part 1 | 0 |
| Form ADV Part 3 | 0 |
Statements (70)
| Predicate | Object |
|---|---|
| instanceOf |
Form CRS
ⓘ
U.S. securities regulation form ⓘ disclosure document ⓘ narrative brochure ⓘ regulatory filing ⓘ regulatory filing component ⓘ |
| abbreviationFor | Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers NERFINISHED ⓘ |
| accessibleVia | Investment Adviser Public Disclosure website NERFINISHED ⓘ |
| appliesTo |
SEC-registered investment advisers
ⓘ
exempt reporting advisers ⓘ investment advisers ⓘ investment advisers serving retail investors ⓘ state-registered investment advisers ⓘ |
| contentFocus |
client relationship summary
ⓘ
organizational and regulatory information about the adviser ⓘ plain-English disclosure for clients and prospective clients ⓘ |
| disclosureStandard | fiduciary duty to clients under the Investment Advisers Act of 1940 ⓘ |
| filedElectronically | true ⓘ |
| filedWith |
Investment Adviser Registration Depository
NERFINISHED
ⓘ
SEC NERFINISHED ⓘ |
| hasPart |
Form ADV Part 1
NERFINISHED
ⓘ
Form ADV Part 2 NERFINISHED ⓘ Form ADV Part 3 NERFINISHED ⓘ |
| includesInformationOn |
brokerage practices
ⓘ
brokerage practices and soft dollars ⓘ business practices of the adviser ⓘ client referrals and other compensation ⓘ client types and minimum account sizes ⓘ code of ethics ⓘ conflicts of interest ⓘ conflicts of interest and disciplinary history ⓘ conflicts of interest and how they are addressed ⓘ custody of client assets ⓘ disciplinary events ⓘ disciplinary history ⓘ disciplinary information ⓘ employees and business operations ⓘ fees and compensation ⓘ fees, costs, and standard of conduct ⓘ financial condition of the adviser ⓘ financial industry affiliations ⓘ financial information ⓘ how to obtain additional information ⓘ investment strategies and risks ⓘ methods of analysis and investment strategies ⓘ other business activities ⓘ ownership and control of the adviser ⓘ ownership structure ⓘ performance-based fees and side-by-side management ⓘ proxy voting policies ⓘ regulatory assets under management ⓘ review of accounts ⓘ services and fees ⓘ soft dollar benefits ⓘ types of advisory services offered ⓘ types of services for retail investors ⓘ |
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| publiclyAvailable | true ⓘ |
| purpose |
enhance transparency of investment advisory business practices
ⓘ
provide disclosure to clients and prospective clients of investment advisers ⓘ provide information to regulators about investment advisers ⓘ |
| regulator | U.S. Securities and Exchange Commission NERFINISHED ⓘ |
| regulatoryFunction | support examination and oversight of investment advisers ⓘ |
| requiredBy | Investment Advisers Act of 1940 NERFINISHED ⓘ |
| updateFrequency | at least annually ⓘ |
| updateRequirement | promptly upon material changes ⓘ |
| usedBy |
compliance professionals
ⓘ
current clients ⓘ prospective clients ⓘ regulators ⓘ |
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.