ADV Form

ADV Form
A required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management and key officers of the firm. The form must be updated annually and be made available as public record for companies managing in excess of $25 million.

Form ADV is divided into two parts. The first discloses specific information about an RIA that is important to regulators (name, number of employees, form of the organization, nature of the business, etc.). The second part acts as a disclosure document for clients of the business and includes information such as services provided and fees levied, whether the investment advisor acts as a broker-dealer and transacts securities, and so on.

To request a copy of Form ADV, you can usually contact the SEC branch closest to you. Potential and current clients of an investment advisor should always review the ADV Form on file, as it provides transparent evidence of the asset mix within the firm, as well as the professional backgrounds of key personnel.

Most advisors will offer a current Form ADV to any potential client early in the marketing process; in fact, investors should be immediately cautious of an advisor that does not freely offer the form upon request.


Investment dictionary. . 2012.

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  • ADV FORM — форма, предоставляемая в Комиссию по ценным бумагам и биржам, которая содержит важную финансовую информацию о зарегистрированном инвестиционном консультанте; …   Глоссарий финансовых и биржевых терминов

  • Form ADV — A required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management (AUM), and key officers of the firm. The form must be updated annually and… …   Investment dictionary

  • form — formable, adj. formably, adv. /fawrm/, n. 1. external appearance of a clearly defined area, as distinguished from color or material; configuration: a triangular form. 2. the shape of a thing or person. 3. a body, esp. that of a human being. 4. a… …   Universalium

  • form — [[t]fɔrm[/t]] n. 1) external appearance of a clearly defined area, as distinguished from color or material; configuration: a triangular form[/ex] 2) the shape of a thing or person 3) anat. a body, esp. that of a human being 4) clo a dummy having… …   From formal English to slang

  • ADV Böblingen — Die Akademie für Datenverarbeitung (ADV) ist eine staatliche Einrichtung zur beruflichen Aus und Weiterbildung. Sie besteht aus dem Berufskolleg für Informatik (BKI), der Fachschule für Wirtschaft Fachrichtung: Wirtschaftsinformatik, und der… …   Deutsch Wikipedia

  • adv. — short form adverb …   Dictionary for writing and speaking English

  • in bad form — {adv. phr.} Violating social custom or accepted behavior. * /When Bob went to the opera in blue jeans and without a tie, his father in law told him that it was in bad form./ Contrast: IN GOOD FORM …   Dictionary of American idioms

  • in bad form — {adv. phr.} Violating social custom or accepted behavior. * /When Bob went to the opera in blue jeans and without a tie, his father in law told him that it was in bad form./ Contrast: IN GOOD FORM …   Dictionary of American idioms

  • in\ bad\ form — adv. phr. Violating social custom or accepted behavior. When Bob went to the opera in blue jeans and without a tie, his father in law told him that it was in bad form. Contrast: in good form …   Словарь американских идиом

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