Form ADV

ICR 201404-3235-001

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form
Modified
Supplementary Document
2014-08-12
Supporting Statement A
2014-08-12
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201404-3235-001
Historical Active 201106-3235-019
SEC IM-270-039
Form ADV
Extension without change of a currently approved collection   No
Regular
Approved without change 02/10/2015
Retrieve Notice of Action (NOA) 08/12/2014
  Inventory as of this Action Requested Previously Approved
02/28/2018 36 Months From Approved 02/28/2015
13,516 0 23,500
154,402 0 246,652
3,600,000 0 10,056,250

Form ADV under the Investment Advisers Act of 1940 is filed upon initial registration as an investment adviser and is also filed by exempt reporting advisers filing reports with the Commission, is updated on an annual basis by all advisers, and may be more frequently updated to correct certain material information.

US Code: 15 USC 80b-1 Name of Law: Investment Advisers Act of 1940
  
None

Not associated with rulemaking

  79 FR 6661 02/04/2014
79 FR 20253 04/11/2014
Yes

1
IC Title Form No. Form Name
Form ADV SEC-1707, SEC-1707, SEC1707, SEC-1707, SEC 1707, SEC-1707, SEC 1707 Form ADV ,   ADV instructions ,   ADV Part 1B ,   ADV 1B Redline ,   Form ADV execution ,   ADV Part 2 ,   Form ADV

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 13,516 23,500 0 0 -9,984 0
Annual Time Burden (Hours) 154,402 246,652 0 0 -92,250 0
Annual Cost Burden (Dollars) 3,600,000 10,056,250 0 0 -6,456,250 0
No
No
We have revised the estimated hour burden from 246,652 to 154,401.80 based on new information with respect to the estimated number of SEC-registered investment advisers and exempt reporting advisers. This new information is based on data derived from information submitted by advisers on Form ADVs filed through the IARD. The number of hours per response has not changed since the last estimate. The decrease in hour burden is due to a decrease in the estimated number of respondents making initial filings on Form ADV as both SEC-registered investment advisers and exempt reporting advisers. SEC registered investment advisers are also expected to incur an annual cost burden of $3,600,000, a reduction from the current approved cost burden of $10,056,250. The decrease in annual cost burden is attributed to the nature of the costs, which are one-time initial costs to draft the narrative brochure. The on-going costs arise from new registrants, a population that is much smaller now than at the time of the prior estimate.

$0
No
No
No
No
No
Uncollected
Christopher McHugh 202 551-6975

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
08/12/2014


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