Form ADV

ICR 201510-3235-021

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2015-10-27
Supplementary Document
2014-08-12
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201510-3235-021
Historical Inactive 201404-3235-001
SEC IM-270-039
Form ADV
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 02/18/2016
Retrieve Notice of Action (NOA) 10/27/2015
Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR. The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
02/28/2018 36 Months From Approved 02/28/2018
13,516 0 13,516
154,402 0 154,402
3,600,000 0 3,600,000

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 Name of Law: Investment Advisers Act of 1940
  
None

3235-AL75 Proposed rulemaking 80 FR 33717 07/02/2015

No

1
IC Title Form No. Form Name
Form ADV SEC 1707, SEC 1707, SEC 1707, SEC 1707, SEC 1707, SEC 1707 Form ADV- Instructions ,   Form ADV ,   Form ADV Part 2 ,   Form ADV Part 1B ,   ADV Execution ,   Form ADV Part 1

Yes
Changing Regulations
No
We estimate that if the proposed amendments to Form ADV are adopted, the total annual hour burden for the form would be 329,436 hours. This is an increase of 175,034 hours from the currently approved burden estimates, which is attributable primarily to the currently approved burden estimates not considering the amortized annual burden of Form ADV on existing registered advisers and exempt reporting advisers. Registered investment advisers are also expected to incur an annual cost burden of $8,528,875, an increase of $4,928,875 from the current approved cost burden estimate of $3,600,000. The increase in annual cost burden is attributable to the currently approved burden not considering the cost to advisers to fair value private fund assets. We do not anticipate that the amendments we are proposing to Form ADV will affect the per adviser cost burden estimates.

$0
No
No
No
No
No
Uncollected
Bridget Farrell 202 551-6834

  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.
10/27/2015


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