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FORM ADV (Paper Version) UNIFORM APPLICATION FOR ...

SEC 1707 (07-17)File 3 of 4 form ADV (Pape r Ve rs io n) UNIFORM APPLICATION FOR INVES TMENT ADVIS ER REGIS TRATION part 2: UNIFORM Requirements for the Investment Adviser brochure an d brochure Supplements General Instructions for part 2 of form ADV Under SEC and similar state rules you are required to deliver to clients an d p ro spective clients a brochure d is closing information about your firm . You also may be required to deliver a b ro ch ure su pplement d isclosin g in fo rmat io n about one or more of your supervised persons. part 2 of form ADV sets out the minimum required disclosure that your b ro chure ( part 2A for a firm brochure , o r A p pendix 1 for a wrap fee program b rochure) an d brochure supplements ( part 2B) mus t contain.

Instructions for Part 2A of Form ADV: Preparing Your Firm Brochure. 1. To whom must we deliver a firm brochure? You must give a firm brochure to each client. You must deliver the brochure even if your advisory agreement with the client is oral. See SEC rule 204-3(b) and similar state rules.

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