The Form ADV is a document that all Registered Investment Advisors in the United States have to file with the respective regulatory bodies. Form ADVs capture information for RIAs, such as addresses, website URLs, firm descriptions, state it operates, AUM size, and so on. This is important for prospective investors due to its disclosures. Specifically, an RIA must disclose important items such as the percentage of interest of its partners and external entities in the company, control persons, and if they have any misdemeanor, etc.
All Investment Advisors Representatives for an RIA are required to be listed and disclosure to be provided about them as well as background. This information is also submitted as part of the form ADV process. Investor companies use these to track if anything has changed from a previous to a new filling of their Fund Managers. The ADV Module eases the process of reviewing filings by allowing users to view and follow firms.
This article will cover the following topics:
Navigate to the ADV Monitoring Module and Firms Screen. Click on a Firm Name to view the firm as shown below.
You may also use the search and filter options for narrowing your search. For more information, please see our help article:
Users can easily find all of the firms they are following by utilizing the table views.
From the Firms Screen, click on the table view dropdown and select the Followed By Me option.