Form ADV

ICR 201805-3235-018

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2019-04-09
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201805-3235-018
Historical Inactive 201609-3235-022
SEC IM-270-039
Form ADV
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 06/25/2019
Retrieve Notice of Action (NOA) 04/09/2019
OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. 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
08/31/2020 36 Months From Approved 08/31/2020
15,272 0 15,272
363,082 0 363,082
13,683,500 0 13,683,500

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-AL27 Proposed rulemaking 83 FR 21416 04/18/2018

No

1
IC Title Form No. Form Name
Form ADV SEC 1707, SEC 1707, SEC 1707, SEC 1707, SEC 1707 Form ADV instructions ,   Form ADV Part1a ,   Form ADV Part 1B ,   Form ADV ,   Form ADV Execution

Yes
Changing Regulations
No
We estimate that with the amendments to Form ADV that we are proposing, the total annual hour burden for the form would be 436,962 hours. This is an increase of 73,880 hours from the currently approved burden estimates, which is attributable primarily to which is attributable primarily to proposed Form ADV Part 3; but also to the larger registered investment adviser and exempt reporting adviser population since the most recent approval, adjustments for inflation, and the amendments to Form ADV. Registered investment advisers are also expected to incur an annual cost burden of $18,424,417, an increase of $4,740,917 from the current approved cost burden estimate of $13,683,500. The increase in annual cost burden is attributable to proposed Part 3 and also to the larger registered investment adviser and exempt reporting adviser population since the most recent approval.

$0
No
    Yes
    Yes
No
No
No
Uncollected
Jennifer Songer 202 551-4608

  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.
04/09/2019


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