Information Collection

Form ADV

IC 34137 under ICR 201404-3235-001 · OMB 3235-0049.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0049 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form SEC1707 Form ADV	Form
SEC-1707 Form ADV formadv.pdf www.sec.gov/about/forms/formadv.pdf	Form
SEC-1707 Form ADV execution formadv-execution.pdf	Form
SEC1707 Form ADV ADV page 1.pdf	Form
SEC-1707 ADV instructions formadv-instructions.pdf	Form and Instruction
SEC-1707 ADV Part 1B Form-ADV-Part-1B.pdf	Form
SEC 1707 ADV 1B Redline Form-ADV-Part-1B-Redline.pdf	Form
SEC 1707 ADV Part 2 formadv-part2.pdf	Form
IARD PIA_Redacted.pdf Investment Adviser Records Systems of Records Notice	IC Document

IC Title:

Form ADV

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 275.203-1 17 CFR 279.1 17 CFR 279.204-4 17 CFR 275.204-1

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC1707	Form ADV	ADV page 1.pdf		Yes	Yes	Fillable Fileable
Form and Instruction	SEC-1707	ADV instructions	formadv-instructions.pdf		Yes	Yes	Fillable Fileable
Form	SEC-1707	ADV Part 1B	Form-ADV-Part-1B.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	ADV 1B Redline	Form-ADV-Part-1B-Redline.pdf		Yes	Yes	Fillable Fileable
Form	SEC-1707	Form ADV execution	formadv-execution.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	ADV Part 2	formadv-part2.pdf		Yes	Yes	Fillable Fileable
Form	SEC-1707	Form ADV	formadv.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: SEC 50-Investment Adviser Records

FR Citation: 66 FR 7820

Number of Respondents: 13,516

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	13,516	-9,984	23,500
Annual IC Time Burden (Hours)	154,402	-92,250	246,652
Annual IC Cost Burden (Dollars)	3,600,000	-6,456,250	10,056,250

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
Investment Adviser Records Systems of Records Notice	IARD PIA_Redacted.pdf	04/08/2014

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.