SEC Form ADV-E

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.

BREAKING DOWN '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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RELATED FAQS
  1. Under the Uniform Securities Act, which of the following advisers is NOT defined ...

    The correct answer is b). Federal covered advisers include those who manage client assets of $25,000,000 or more or who advises ... Read Answer >>
  2. The de Minimis clause for investment advisers means:

    A. An investment adviser must register with the state if it holds less than $25 million in assets.B. An investment adviser ... Read Answer >>
  3. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these ...

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