Information Collection

Form ADV

IC 34137 under ICR 201609-3235-022 · 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⚠️ Notice: This information collection may be referencing outdated material.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 and Instruction
SEC 1707 Form ADV instructions ADV page 1.pdf www.sec.gov/about/forms/formadv.pdf	Form and Instruction
SEC 1707 Form ADV Part1a formadv-part1a.pdf www.sec.gov/about/forms/formadv.pdf	Form and Instruction
SEC 1707 Form ADV Part 1B Form-ADV-Part-1B.pdf www.sec.gov/about/forms/formadv.pdf	Form and Instruction
SEC 1707 Form ADV form adv.pdf www.sec.gov/about/forms/formadv.pdf	Form and Instruction
SEC 1707 Form ADV Execution formadv-execution.pdf www.sec.gov/about/forms/formadv.pdf	Form and Instruction

IC Title:

Form ADV

Agency IC Tracking Number:

270-39

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 and Instruction	SEC 1707	Form ADV instructions	ADV page 1.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	SEC 1707	Form ADV Part1a	formadv-part1a.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	SEC 1707	Form ADV Part 1B	Form-ADV-Part-1B.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	SEC 1707	Form ADV	form adv.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form and Instruction	SEC 1707	Form ADV Execution	formadv-execution.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: 15,272

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	15,272	1,756	13,516
Annual IC Time Burden (Hours)	363,082	208,680	154,402
Annual IC Cost Burden (Dollars)	13,683,500	10,083,500	3,600,000

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
No associated records found

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