Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) {ADV} | Pdf Fpdf Docx | Official Federal Forms

 Official Federal Forms /  Securities And Exchange Commission /
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) {ADV} | Pdf Fpdf Docx | Official Federal Forms

Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) {ADV}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 11/6/2018

Included Formats to Download
$ 39.99

Description

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS PART 1A WARNING: Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. Check the box that indicates what you would like to do (check all that apply): SEC or State Registration: Submit an initial application to register as an investment adviser with the SEC. Submit an initial application to register as an investment adviser with one or more states. Submit an annual updating amendment to your registration for your fiscal year ended. Submit an other-than-annual amendment to your registration. SEC or State Report by Exempt Reporting Advisers: Submit an initial report to the SEC. Submit a report to one or more state securities authorities. Submit an annual updating amendment to your report for your fiscal year ended. Submit an other-than-annual amendment to your report. Submit a final report. Item 1 Identifying Information Responses to this Item tell us who you are, where you are doing business, and how we can contact you. If you are filing an umbrella registration, the information in Item 1 should be provided for the filing adviser only. General Instruction 5 provides information to assist you with filing an umbrella registration. A. Your full legal name (if you are a sole proprietor, your last, first, and middle names): B. (1) Name under which you primarily conduct your advisory business, if different from Item 1.A. SEC 1707 (07-17) File 2 of 4 American LegalNet, Inc. www.FormsWorkFlow.com List on Section 1.B. of Schedule D any additional names under which you conduct your advisory business. (2) If you are using this Form ADV to register more than one investment adviser under an umbrella registration, check this box . If you check this box, complete a Schedule R for each relying adviser. C. If this filing is reporting a change in your legal name (Item 1.A.) or primary business name (Item 1.B.(1)), enter the new name and specify whether the name change is of your legal name or your primary business name: D. (1) If you are registered with the SEC as an investment adviser, your SEC file number: 801-. (2) If you report to the SEC as an exempt reporting adviser, your SEC file number: 802-. (3) If you have one or more Central Index Key numbers assigned by the SEC (223CIK Numbers224), all of your CIK numbers:. E. (1) If you have a number (223CRD Number224) assigned by the FINRA222s CRD system or by the IARD system, your CRD number:. (2) If you have additional CRD Numbers, your additional CRD numbers:. If your firm does not have a CRD number, skip this Item 1.E. Do not provide the CRD number of one of your officers, employees, or affiliates. F. Principal Office and Place of Business (1) Address (do not use a P.O. Box): (number and street) (city) (state/country) (zip +4/postal code) If this address is a private residence, check this box: List on Section 1.F. of Schedule D any office, other than your principal office and place of business, at which you conduct investment advisory business. If you are applying for registration, or are registered, with one or more state securities authorities, you must list 2 American LegalNet, Inc. www.FormsWorkFlow.com all of your offices inthe state or statesto which you are applying for registration or with whom you are registered. If you are applying for SEC registration, if you are registered only with the SEC, or if you are reporting to the SEC as an exempt reporting adviser, list the largest twenty-five offices in terms of numbers of employees as of the end of your most recently completed fiscal year. (2) Days of week that you normally conduct business at your principal office and place of business: Monday -Friday Other: Normal business hours at this location: (3) Telephone number at this location: (area code) (telephone number) (4) Facsimile number at this location, if any: (area code) (facsimile number) (5) What is the total number of offices, other than your principal office and place of business, at which you conduct investment advisory business as of the end of your most recently completed fiscal year? G. Mailing address, if different from your principal office and place of business address: (number and street) (city) (state/country) (zip+4/postal code) If this address is a private residence, check this box: H. If you are a sole proprietor, state your full residence address, if different from your principal office and place of business address in Item 1.F.: (number and street) (city) (state/country) (zip+4/postal code) I. Do you have one or more websites or accounts on publicly available social media platforms (including, but not limited to, Twitter, Facebook and LinkedIn)? 3 American LegalNet, Inc. www.FormsWorkFlow.com Yes No If 223yes,224 list all firm website addresses and the address for each of the firm222s accounts on publicly available social media platforms on Section 1.I. of Schedule D. If a website address serves as a portal through which to access other information you have published on the web, you may list the portal without listing addresses for all of the other information. You may need to list more than one portal address. Do not provide the addresses of websites or accounts on publicly available social media platforms where you do not control the content. Do not provide the individual electronic mail (e-mail) addresses of employees or the addresses of employee accounts on publicly available social media platforms. J. Chief Compliance Officer (1) Provide the name and contact information of your Chief Compliance Officer. If you are an exempt reporting adviser, you must provide the contact information for your Chief Compliance Officer, if you have one. If not, you must complete Item 1.K. below. (name) (other titles, if any) (area code) (telephone number) (area code) (facsimile number, if any) (number and street) (city) (state/country) (zip+4/postal code) (electronic mail (e-mail) address, if Chief Compliance Officer has one) (2) If your Chief Compliance Officer is compensated or employed by any person other than you, a related person or an investment company registered under the Investment Company Act of 1940 that you advise for providing chief compliance officer services to you, provide the person222s name and IRS Employer Identification Number (if any):. 4 American LegalNet, Inc. www.FormsWorkFlow.com K. Additional Regulatory Contact Person: If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this Form ADV, you may provide that information here. (name) (titles) (area code) (telephone number) (area code) (facsimile number, if any) (number and street) (city) (state/country) (zip+4/postal code) (electronic mail (e-mail) address, if contact person has one) L. Do you maintain some or all of the books and records you are required to keep under Section 204 of the Advisers Act, or similar state law, somewhere other than your principal office and place of business? Yes No If 223yes,224 complete Section 1.L. of Schedule D. M. Are you registered with a foreign financial regulatory authority? Yes No Answer 223no224 if you are not registered with a foreign financial regulatory authority, even if you have an affiliate that is registered with a foreign financial regulatory authority. If 223yes,224 complete Section 1.M. of Schedule D. N. Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? Yes No O. Did you have $1 billion or more in assets on the last day of your most recent fiscal year? Yes No If yes, what is the approximate amount of your assets: 5 American LegalNet, Inc. www.FormsWorkFlow.com $1 billion to less than $10 billion $10 billion to less than $50 billion $50 billion or more For purposes of Item 1.O. only, 223assets224 refers to your total assets, rather than the assets you manage on behalf of clients. Determine your total assets using the total assetsshow

Our Products