SEC Form ADV-E

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Dictionary Says

Definition of 'SEC Form ADV-E'


A certification of client assets, both cash and securities that are held by a Registered Investment Adviser. The SEC Form ADV-E is used chiefly by accountants. It contains both information about the adviser and the state his or her practice along with a listing of client securities and holdings.

Investopedia Says

Investopedia explains 'SEC Form ADV-E'


This form is required by the SEC pursuant to the Investment Adviser's Act of 1940. The form is evaluated by an independent accountant for accuracy and compliance. The ultimate purpose of the form is to ensure proper handling of client assets.



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