ADV Form

A form kept on file with the Securities & Exchange Commission that contains critical financial information about a registered investment advisor (RIA).

Form ADV is divided into two parts. Part 1 discloses specific information about an RIA that is important to regulators (name, number of employees, form of the organization, nature of the business, etc.). Part 2 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.