SEC Form ADV-E

A certification of client assets, both cash and securities that are held by a Registered Investment Adviser. The SEC Form ADV-E is used chiefly by accountants. It contains both information about the adviser and the state his or her practice along with a listing of client securities and holdings.

This form is required by the SEC pursuant to the Investment Adviser's Act of 1940. The form is evaluated by an independent accountant for accuracy and compliance. The ultimate purpose of the form is to ensure proper handling of client assets.


Investment dictionary. . 2012.

Look at other dictionaries:

  • SEC Form ADV — The application for registration as an investment adviser or an amendment thereto. Part one of the SEC Form ADV provides personal information about the applicant. Part two outlines the applicant s line and scope of business, as well as the nature …   Investment dictionary

  • SEC Form ADV-NR — A request for the appointment of agency with the SEC. This type of appointment is for a non resident general partner or managing agent of an investment adviser. The form contains appointment of agent and consent clauses for the non resident… …   Investment dictionary

  • SEC Form ADV-W — The form used to withdraw registration as a Registered Investment Adviser with the SEC. This form has several schedules that must be completed listing the advisor s contact information, current business and status of clientele. A statement of… …   Investment dictionary

  • SEC Form ADV-H — An application for either a temporary or continuing hardship exemption previously granted by the SEC. The form contains identifying information of the adviser, and the reason for the hardship continuance request. This infomation must be provided… …   Investment dictionary

  • 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

  • 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… …   Investment dictionary

  • Investment Adviser Association — The Investment Adviser Association [ [http://www.investmentadviser.org IAA Home ] ] (IAA) is a not for profit association that exclusively represents the interests of federally registered investment advisory firms. Founded in 1937, the… …   Wikipedia

  • Christopher Cox — For other people named Chris Cox, see Chris Cox (disambiguation). Christopher Cox 28th Chairman of the Securities and Exchange Commission In office August 3, 2005 – January 20, 2009 Presi …   Wikipedia

  • High net worth individual — A high net worth individual (HNWI) is a person with a high net worth. In the private banking business, these individuals typically are defined as having investable assets (financial assets not including primary residence) in excess of US$1… …   Wikipedia

  • Stevin Hoover — Infobox Criminal subject name = Stevin Ray Hoover date of birth = birth date and age|1948|10|10 place of birth = Franklin, Pennsylvania date of death = place of death = charge = Securities violation (white collar crime) penalty = 18 month federal …   Wikipedia

Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.