Our lawyers provide innovative and practical counsel on a wide variety of capital raising and securities law compliance matters. We represent clients ranging from emerging private companies to established public companies. With each, we build long-term relationships, generating efficiencies and helping them realize their business goals.
Amending Your Form ADV, Including an Interactive Compilation of Form ADV
March 9, 2012
As an investment adviser registered with the SEC, you will be required to amend your Form ADV from time to time. Available to you at this link is a brief summary designed to assist you with such amendments by identifying the types of information that require amending as well as the timing for filing with the SEC and/or delivering updates to your clients.
Also available is an interactive compilation of Form ADV. This compilation consists of Form ADV, the SEC releases adopting amendments thereto and the SEC's responses to frequently asked questions on completing Form ADV. To open this document with full functionality, save it locally to your computer and open it in Adobe Reader or Acrobat. Right click on this link and choose "Save Link/Target As..." to save it to your computer.
The ADV compilation is fully interactive. Click on the navigation bar on the left to browse through the different sections of Form ADV, the SEC releases and the SEC FAQs. For your reference, all defined terms, indicated by their blue appearance, link to the respective definition in the Form ADV Glossary. Similarly, all references to particular Items of Form ADV, also indicated by their blue appearance, link to the respective Item in Form ADV. Many Items within Part 1A are accompanied by an "INST" icon which links to any specific instruction related to the selected Item (conversely, each instruction to Part 1A is accompanied by an "ITEM" icon which links to the Item to which the instruction relates). In addition, certain Items in the Form ADV are accompanied by a "REL" icon and/or a "FAQ" icon which links to the principal discussion of the selected Item in the relevant SEC release and the response to frequently asked questions relating to such Item, respectively. The navigation bar also contains a "Go Back" button at the top which will return you to the previous page you were viewing.