Form ADV is the uniform form used by investment advisors to register with both the Securities and Exchange Commission (SEC) and state securities authorities. It is the primary disclosure document that investment advisers provide to their clients.
The form consists of two parts. Part 1 must have information about the investment advisor’s business. Part 2 includes information on the types of advisory services offered, the advisor’s fee schedule, disciplinary information, conflicts of interest, and the educational and business background of management and key advisory personnel of the advisor.
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