Compliance Glossary

Form ADV 

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC’s Investment Adviser Public Disclosure (IAPD) website.

In regulatory compliance, Form ADV  is:

Form ADV is the uniform form used by investment advisers to register with the SEC and state securities authorities. It consists of Part 1, Part 2 A and B, and Part 3 (or Form CRS). Firms are commonly cited for inaccuracies or inconsistencies within their Form ADV.