Form ADV is the registration and disclosure document that investment advisers must file with the SEC or state regulators. It serves as a comprehensive source of information about an adviser’s business, services, fees, conflicts of interest, and other key operational details.

The form is divided into two parts: Part 1, which provides details about the advisory firm, and Part 2, which includes more detailed information about the firm's practices, fees, and conflicts, and must be provided to clients.

Why is Form ADV Important?

Form ADV is a critical component of the regulatory framework for investment advisers. It serves to:

• Enhance transparency: By disclosing key business practices, fees, and conflicts of interest, Form ADV helps investors make informed decisions about which advisers to hire.
• Promote accountability: The form helps regulators monitor the activities of investment advisers and ensures that they are adhering to regulatory requirements
• Ensure consumer protection: It provides potential clients with vital information about an adviser’s background, experience, and services, helping them avoid conflicts of interest and unethical practices

Not complying with the requirement set under Form ADV could expose the fund or the investment advisor to legal actions, financial penalties or even the suspension of operations.

AlphaOmega added value

• The production process can be monitored using the DEC platform
• Robust and exhaustive controls are performed on all Form
• Management of the presentation’s layout
• Shared information between the different parts of the form
• Robust and exhaustive controls are performed on all Form within the platform