Compliance Solutions for Investment Advisers

Form ADV Part 1

The Form ADV Part 1 is the online portion of the broader Form ADV used by investment advisers to register with their regulator.

This Part asks a number of questions about you, your business practices, the persons who own and control you, and the persons who provide investment advice on your behalf.

While a paper version of this form exists, this Form is usually completed online by accessing the firms IARD account through the FINRA Gateway.

U.S. Compliance Consultants can assist you in preparing this Form as required by the SEC or your state regulator through our comprehensive Registration Services or through direct preparation of your custom Form ADV Part 1.