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Form ADV (provided in PDF format) - SEC

form ADV (provided in PDF format): Instructions & Glossary Part 1A (including Schedules A, B, C, D, R and DRPs) Part 1B (state-registered advisers only - link to NASAA website) Part 2 Execution Pages OMB Approval OMB Number: 3235-0049; Expires: August 31, 2020; Estimated average burden per response: Federal Information Law and Requirements Sections 203 and 204 of the Advisers Act [15 80b-3 and 80b-4] authorize the SEC to collect the information required by form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration.

The form enables the SEC to register investment advisers and to obtain information from and about exempt reporting advisers. Every applicant for registration with the SEC as an adviser, and every exempt reporting adviser, must file the form. See 17 C.F.R. § …

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UNITED STATES OMB APPROVAL SECURITIES AND …

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www.sec.gov

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Sarbanes-Oxley Sections 302 & 404 A White Paper …

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