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The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for advisers who are General Instructions for Part 2 of Form ADV. Under SEC and similar state rules you are required to deliver to clients and prospective clients a brochure Form ADV is a required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor, which specifies the investment styleupdating a wrap fee program brochure) Instructions for Part 2A Appendix 1 of Form ADV, before preparing or updating your brochure or brochure supplements. In these instructions and in Form ADV, “you” means the investment adviser (i.e., the advisory firm). If you are a “separately identifiable department or If you are filing an umbrella registration, the information in Item 1 should be provided for the filing adviser only. General Instruction 5 provides information Form ADV is the common form used by both state and federal regulators for the Additionally, instructions for electronically filing Part 2 are also Form ADV. The following forms, unless noted otherwise, are PDF documents, which require Adobe Acrobat or comparable software, to open. Instructions and REPORT FORM BY EXEMPT REPORTING ADVISERS. Form ADV: General Instructions. Read these instructions carefully before filing Form ADV.

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