As an investment adviser registered with the SEC,1 you will be required to amend your Form ADV from  time to time.2 The following summary is designed to assist you by identifying the types of  information on your Form ADV that require amending and the timing for filing such amendments with  the SEC, as well as whether you are required to deliver such amendments to your clients. The  summary is divided into two sections: (i) annual updating amendments that are required to be filed  with the SEC each year (“annual amendments”) and (ii) other-than-annual amendments (“interim  amendments”). As a reminder, Form ADV consists of the following parts:

  • Part 1 (consisting of Parts 1A and 1B) is primarily for SEC use and requires information about an  investment adviser’s business, ownership, clients, employees, business practices, and certain  disciplinary events of the adviser and its employees.3
  • The Brochure (Part 2A) is primarily directed to clients and consists of plain English disclosures  of, among other things, the investment adviser’s business practices, investment strategies, fees,  conflicts of interest, and disciplinary information.4
  • The Brochure Supplement (Part 2B) is also primarily directed to clients and contains information  about employees that provide investment advice to clients, including educational background,  business experience, other business activities, and disciplinary history.

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