Form ADV

ICR 201907-3235-025

OMB: 3235-0049

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supplementary Document
2019-08-07
Supporting Statement A
2019-09-25
IC Document Collections
IC ID
Document
Title
Status
34137 Modified
ICR Details
3235-0049 201907-3235-025
Historical Active 201609-3235-022
SEC IM-270-039
Form ADV
Revision of a currently approved collection   No
Regular
Approved with change 10/04/2019
Retrieve Notice of Action (NOA) 08/07/2019
  Inventory as of this Action Requested Previously Approved
08/31/2020 36 Months From Approved 08/31/2020
17,579 0 15,272
514,797 0 363,082
21,767,370 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-1 Name of Law: Investment Advisers Act of 1940
  
None

3235-AL27 Final or interim final rulemaking 84 FR 33492 07/12/2019

Yes

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

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 17,579 15,272 0 2,307 0 0
Annual Time Burden (Hours) 514,797 363,082 0 151,715 0 0
Annual Cost Burden (Dollars) 21,767,370 13,683,500 0 8,083,870 0 0
Yes
Changing Regulations
No
We estimate that with the amendments to Form ADV, the total annual hour burden for the form would be 514,797 hours. This is an increase of 151,715 hours from the currently approved burden estimates, which is attributable primarily to which is attributable primarily to new 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 $21,767,370, an increase of $8,083,870 from the current approved cost burden estimate of $13,683,500. The increase in annual cost burden is attributable to amendments to Form ADV to add a new 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
Olawale Oriola 202 551-6541

  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.
08/07/2019


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