Purpose of the Form ADV

The Uniform Application for Investment Adviser Registration (or more commonly known as the Form ADV) is used as the official application document to register as an investment advisor firm. Both the United States Securities and Exchange Commission (SEC) and the state securities regulators require use of the Form ADV as an investment advisor registration document. Once investment advisor registration is granted, the Form ADV must be amended at least annually and whenever material changes occur.

The Form ADV Part II and Schedule F can serve as the required disclosure statement that a registered investment advisor must provide to its clients. Registered investment advisers that use a disclosure statement other than the Form ADV Part II and Schedule F must ensure that the disclosure statement contains the same information as the Form ADV Part II and Schedule F. The Form ADV Part II and Schedule H must be completed by a registered investment advisor serving as the sponsor to a wrap-fee program.

​The Form ADV Part III is a client relationship summary brochure (Form CRS). It is a concise version of the Form ADV Part II.