Form ADV

⚠️ Notice: This information collection may be referencing outdated material.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

Documents and Forms

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
secsorn50.pdf SORN-50 IC Document

Information Collection (IC) Details

View Information Collection (IC)

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:

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: 16,569	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	16,569	1,297	15,272
Annual IC Time Burden (Hours)	436,962	73,880	363,082
Annual IC Cost Burden (Dollars)	18,424,417	4,740,917	13,683,500

Documents for IC

Title	Document	Date Uploaded
SORN-50	secsorn50.pdf	04/09/2019

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