If past disciplinary action has been taken against the advisor, this must be noted in the first section of a Form ADV. The second section deals with the AUM, investment strategy, fee arrangements and service offerings of the firm.
Potential and current clients of an investment advisor should always review the Form ADV on file, as it provides transparent evidence of the asset mix within the firm, as well as the professional background of key personnel.
Most advisors will offer a current Form ADV to any potential client early in the marketing process; in fact, investors should be immediately cautious of an advisor that does not freely offer the form upon request.
Investment dictionary. Academic. 2012.
Look at other dictionaries:
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 — 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-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 … 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
ADV form — в США форма, предоставляемая в Комиссию по ценным бумагам и биржам, которая содержит финансовую информацию о зарегистрированном инвестиционном консультанте. См. также: Инвестиционные консультанты Комиссия по ценным бумагам и биржам Финансовый… … Финансовый словарь
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
form — formable, adj. formably, adv. /fawrm/, n. 1. external appearance of a clearly defined area, as distinguished from color or material; configuration: a triangular form. 2. the shape of a thing or person. 3. a body, esp. that of a human being. 4. a… … Universalium
form — [[t]fɔrm[/t]] n. 1) external appearance of a clearly defined area, as distinguished from color or material; configuration: a triangular form[/ex] 2) the shape of a thing or person 3) anat. a body, esp. that of a human being 4) clo a dummy having… … From formal English to slang
ADV Böblingen — Die Akademie für Datenverarbeitung (ADV) ist eine staatliche Einrichtung zur beruflichen Aus und Weiterbildung. Sie besteht aus dem Berufskolleg für Informatik (BKI), der Fachschule für Wirtschaft Fachrichtung: Wirtschaftsinformatik, und der… … Deutsch Wikipedia