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Your essential guide to the dos and don’ts of Form ADV

People walk along Wall Street in the financial district in New York City.
Photo by Spencer Platt/Getty Images

Janaya Moscony | SEC3

7 min read
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Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.

For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability.

For the uninitiated, Form ADV is the uniform form investment advisers (RIAs) use to register with the SEC and state

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