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ADV Filing Comparisons

The Form ADV is a document that all Registered Investment Advisors in the United States have to file with the respective regulatory bodies.

All Investment Advisory 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. For information on how to view and follow Form ADVs, please see our full help article below:

The ADV Monitoring Module eases the process of reviewing filings by allowing users to view and follow firms. You can also compare two ADV filings of the same firm on one screen.

This article will cover the following topics:

View Firm

  1. Navigate to the ADV Monitoring Module and Firms Screen as shown below. Once here, click on a Firm Name to view the firm.

  2. From the ADV Forms Screen, click on the Date link to view the relative Form version.

Compare Forms

Users have the option to compare two form versions at a time.

  1. Click on the Compare with dropdown arrow and choose a form to compare your current form with. Once an additional form is selected, click the Compare button.

  2. The Comparison Mode will be enabled, allowing you to review the current and previous values side-by-side. Click the Expand View link to open the comparisons in full view. To navigate back to the previous view, select the Collapse View link.

  3. Additionally, you have the option to only compare the questions for which answers have been changed. Click the Radio button as shown below for this.

Close Comparison

Click the Close Comparison link to close your previously selected comparison form.