Form ADV

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC 1707 Form ADV Execution	Form and Instruction	Modified	Repair queued
Form SEC 1707 Form ADV	Form and Instruction	Modified	Repair queued
Form SEC 1707 Form ADV Part 1B	Form and Instruction	Modified	Repair queued
Form SEC 1707 Form ADV Part1a	Form and Instruction	Modified	Repair queued
Form SEC 1707 Form ADV instructions	Form and Instruction	Modified	Repair queued
Form SEC 1707 Form ADV Execution	Form and Instruction	Modified	Available
Form SEC 1707 Form ADV	Form and Instruction	Modified	Available
Form SEC 1707 Form ADV Part 1B	Form and Instruction	Modified	Available
Form SEC 1707 Form ADV Part1a	Form and Instruction	Modified	Available
Form SEC 1707 Form ADV instructions	Form and Instruction	Modified	Available
Supporting Statement_Form ADV (Small Entity).pdf	Supporting Statement A	Uploaded 2026-09-23	Repair queued
Supporting Statement_Form ADV (Small Entity).pdf	Supporting Statement A	Uploaded 2026-09-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34137	Form ADV	Form and Instruction	Modified	Form ADV Execution
34137	Form ADV	Form and Instruction	Modified	Form ADV
34137	Form ADV	Form and Instruction	Modified	Form ADV Part 1B
34137	Form ADV	Form and Instruction	Modified	Form ADV Part1a
34137	Form ADV	Form and Instruction	Modified	Form ADV instructions
34137	Form ADV	Form and Instruction	Modified	Form ADV Execution
34137	Form ADV	Form and Instruction	Modified	Form ADV
34137	Form ADV	Form and Instruction	Modified	Form ADV Part 1B
34137	Form ADV	Form and Instruction	Modified	Form ADV Part1a
34137	Form ADV	Form and Instruction	Modified	Form ADV instructions

ICR Details

OMB Control No: 3235-0049	ICR Reference No: 202609-3235-015
Status: Historical Inactive	Previous ICR Reference No: 202605-3235-003
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Form ADV
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 11/02/2026
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/23/2026
Terms of Clearance: In accordance with 5 CFR 1320, OMB is filing comment and withholding approval at this time. The agency shall examine public comment in response to the proposed rulemaking and include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden. Further, OMB understands that SEC is in the process of revising its methodologies to estimate annualized costs to the Federal government for all its relevant collections of information. OMB anticipates that future extensions of this OMB control number will reflect the revised methodologies.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2029	36 Months From Approved	09/30/2029
Responses	23,216	0	23,216
Time Burden (Hours)	251,852	0	251,852
Cost Burden (Dollars)	23,547,079	0	23,547,079

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Abstract: The Commission uses the information on Form ADV to determine eligibility for registration and to manage regulatory and examination programs. Clients use the information required in Form ADV to determine whether to hire or retain an investment adviser.

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Authorizing Statute(s): US Code: 15 USC 80b-1 Name of Law: Investment Advisers Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AN29	Proposed rulemaking	91 FR 1107	01/12/2026

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

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

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: We estimate that the annual aggregate burden estimate for Form ADV (Parts 1, 2 and 3) for all RIAs and ERAs is 254,433.33 hours per year, with an internal cost estimate of $140,574,414.83. This represents an aggregate increase of 2,581.80 hours and $2,559,776.39 in the internal cost estimate from the currently approved annual aggregate burden estimates. The aggregate annual estimated external cost burden of $23,891,889.58 represents an increase of $344,810.44 from the previously approved estimate of $23,547,079.14. The increase in hourly burden is due to the increase in initial and ongoing annual burden as a result of the proposal.. The increase in the internal and external cost burden is due to an increase in the number of burden hours due to the proposal and to an increase in the wages derived from the BLS Wage Data since the last PRA submission.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 09/23/2026

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