Form ADV
Form ADV is a disclosure form that investment advisors must file with regulatory authorities. (Either the SEC, state securities regulators, or both.) Form ADV consists of two parts: * Part 1 provides identifying information about an advisor’s firm and/or key officers, clients, assets under management and other business activities. * Part 2 requires advisors to write a plain-English brochure for their clients outlining their fees, services and business practices. They must also disclose existing or potential conflicts of interest and past disciplinary action. Form ADV must be updated annually and is public record on the SEC’s Investment Adviser Public Disclosure website.
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