SEC Form ADV

DEFINITION of 'SEC Form ADV'

The application for registration as an investment adviser or an amendment thereto. Part one of the SEC Form ADV provides personal information about the applicant. Part two outlines the applicant's line and scope of business, as well as the nature of the adviser's clientele and fees charged. The application is used to register with both state and federal authorities.

BREAKING DOWN 'SEC Form ADV'

Form ADV is required directly by the SEC and must be completed by any adviser seeking federal registration. This form is issued under the Investment Adviser's Act of 1940. All information recorded on the form becomes available for public scrutiny under federal law.

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RELATED FAQS
  1. Under the Uniform Securities Act, the registration of an investment adviser results ...

    The correct answer is b. Clerical employees do not need to be registered as investment adviser representatives, while solicitors, ... Read Answer >>
  2. 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 >>
  3. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these ...

    Under the "Brochure" rule of the Investment Advisers Act of 1940, which of these statements is true? a. The ADV Part II or ... Read Answer >>
  4. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
  5. Under the Uniform Securities Act, registration requirements for an investment adviser ...

    The correct answer is a) Investment advisor representatives do not need to include a minimum amount of net capital since ... Read Answer >>
  6. 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 >>
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