Form ADV Preparation

Why is Form ADV important?

Form ADV is the uniform form for use by investment advisors to register and update registrations with the Securities and Exchange Commission and state securities regulators. The ADV discloses relevant facts about your firm, its services and any disciplinary information to current and prospective clients. Once investment advisor registration is granted, Form ADV must be amended at least annually and whenever material changes occur. Form ADV must be provided to Clients prior to entering into an advisory agreement and must be provided to existing Clients annually.

The ADV is not only a required regulatory form, but also a very useful client communication tool. Part I of the ADV contains information about the adviser's education, business and disciplinary history, while Part II (the "Brochure") includes information regarding your services, fees, and investment strategies. A well drafted ADV will assist in providing a solid foundation for Client relationships and a full understanding of services offered.

MainStay provides its Clients with comprehensive ADV services, including:

  • Initial Form ADV Preparation (Parts I, II) and Schedule F)
  • Annual ADV updates and amendments
  • SEC and State ADV Filings, including notice filings
  • Marketing Brochures (Part II Equivalents in plain English)
  • Wrap Program Brochures (Schedule H)

Let experienced professionals mitigate your regulatory risk and enable you to focus on your Clients. For a free consultation and to learn more about our qualifications, please Contact Us.