Products November 5, 2010

Form ADV 2 Template Available for RIAs

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.
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Created by The Consortium, a company offering compliance support to professionals in the financial services industry, the ADV 2 Brochure is delivered in a Microsoft Word format for customization.

The template includes:

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  • Headings for each section required by the SEC and state regulators
  • Table of Contents linked to the section headings for automatic table updates
  • Text boxes for each section to be completed with instructions in plain view until you are ready to delete them from your final draft
  • Detailed sample narrative for each section for your easy modification and customization for your practice for Parts 2A (Firm Brochure) and 2B (Brochure Supplement for supervised persons)
  • Links to IARD websites (SEC and FINRA) and to the adopting release giving you full access to a wealth of information

The template costs $99 and is available for purchase here.

The SEC this summer voted to adopt changes to the Form ADV, Part 2, the principal disclosure document that SEC-registered investment advisers must provide to their clients and prospective clients (see “SEC“).

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