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Updates to Form ADV Frequently Asked Questions

Monday, June 26, 2017

Periodically, the Division of Investment Management staff will make updates and additions to the “Frequently Asked Questions on Form ADV and IARD.” The Frequently Asked Questions (FAQs) on Form ADV is always a good place to consult if you have questions regarding Form ADV.  Additionally, it is a good practice to periodically review the FAQs for any update(s) that will affect how you complete the ADV for your firm. Recently, the Division of Investment Management staff updated the FAQs on Form ADV. Many of the updates relate to amendments to the 2016 rulemaking Form ADV and Investment Advisers Act Rules, Investment Advisers Act Release No. 4509 (August 25, 2016).

FAQs were added for the following items:

  • Form ADV: Item 1.l
  • Form ADV: Item 1.J
  • Form ADV: Item 5.D
  • Form ADV: Item 5.K
  • Form ADV: Item 7.B
  • Form ADV: Schedule R

For more information, you can access the updated Form ADV FAQs by clicking the following link:
If you need assistance updating your ADV to meet these new requirements, let Red Oak help you comply.

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