Form ADV Part 2 and 3: Identifying and Disclosing Conflicts

The Form ADV Part 2 is a “plain English” narrative approach to client disclosure. Investment Advisers are required to file their disclosure brochures electronically and the public has access to these brochures via the Investment Adviser Public Disclosure (IAPD) website. This session will examine the form’s 19 specific disclosure topics, including advisory business, fees and compensation, disciplinary events and brokerage practices. In addition, the session will delve into the mechanics of the Form ADV Part 2B, “brochure supplement,” requirement. An investment adviser representative résumé-like disclosure for each individual providing advice to a client.