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.

1. Narrative Format. Part 2 of Form ADV consists of a series of items that contain disclosure requirements for your firm’s brochure and any required supplements. The items require narrative responses. You must respond to each item in Part 2. You must include the heading for each item provided by Part 2 immediately preceding

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