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⚠️ Notice: This information collection may be referencing outdated material.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 SEC-1707 Form ADV Form ADV	Form
Form SEC-1707 Form ADV execution Form ADV	Form
Form SEC1707 Form ADV Form ADV	Form
Form SEC-1707 ADV instructions Form ADV	Form and Instruction
Form SEC-1707 ADV Part 1B Form ADV	Form
Form SEC 1707 ADV 1B Redline Form ADV	Form
Form SEC 1707 ADV Part 2 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.	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	SEC-1707	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form	SEC-1707		Yes	Yes	Fillable Fileable
Form	SEC1707		Yes	Yes	Fillable Fileable
Form and Instruction	SEC-1707		Yes	Yes	Fillable Fileable
Form	SEC-1707		Yes	Yes	Fillable Fileable
Form	SEC 1707		Yes	Yes	Fillable Fileable
Form	SEC 1707		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		04/08/2014

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

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