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Form ADV

Form ADV is the name of a required filing by the SEC. It specifies the investment style, assets under management and key officers of an Registered Investment Advisor. The form is split into two parts.

ADV Part 1 specifies information that is important to regulators, such as name, number of employees, places of business, nature of the business etc.

ADV Part 2 is intended as a disclosure document for clients. It is written in plain English in the form of a brochure, and includes information such as services provided and fees levied.