Notice Filing

Information an investment advisor registered with the Securities Exchange Commission may be required by law to submit to state securities authorities. Notice filings include a copy of the ADV form and other modifications that must be filed. This helps protect a consumer by ensuring the expertise of an advisor is valid and authentic.

The ADV form has two main parts. The first component provides details about an advisor’s education, business and any punitive actions that have occurred in the past ten years. The second component is comprised of the advisors service fees and investment strategies. It is essential that when you hire someone to be your investment advisor that you request to see both parts of the ADV form.


Investment dictionary. . 2012.

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