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Investment Adviser Reporting Requirements

Investment advisers must file Form ADV with the Securities and Exchange Commission or with state offices for regulating securities. Investment advisers who manage $25 million or more in client assets must file the form and register with the Securities and Exchange Commission. Advisers managing smaller amounts of assets must file Form ADV with state securities regulators.

There are two parts to Form ADV. Part I requires information on the adviser’s education and the advisor’s business experience. Part I also must contain information on any disciplinary proceedings directed at the advisor within the ten years prior to the filing of the form. Part II of Form ADV describes the services provided by the adviser and the fees and investment strategies of the adviser. Part I must be filed electronically with the Securities and Exchange Commission.

The Securities and Exchange Commission and state securities regulators have established an Investment Adviser Public Disclosure website that allows access to Form ADV filings by investment advisers. A 1996 amendment to the Investment Advisers Act of 1940 required establishment by the Commission of a website where investors could check on investment advisers and possible disciplinary actions against those advisers.

While the Securities and Exchange Commission and state securities regulators do not verify the accuracy of information submitted in Form ADV by investment advisers, the Commission and the regulators receive and take action on communications from investors and others concerning any information on the Forms that may be considered false or misleading.

The website maintained by the Securities and Exchange Commission may not contain information concerning all investment advisers. Certain investment advisers may be exempt from Form ADV filing requirements, and other investment advisers may have filed a registration application with the Commission or a state regulator but the application has yet to be approved. The Commission and state regulators maintain offices and telephone numbers at which they may be contacted regarding investment advisers who do not appear on the Commission-maintained website.

Copyright 2011 LexisNexis, a division of Reed Elsevier Inc.

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