To approximately how many clients* for whom you do not have regulatory assets under management did you provide investment advisory services during your most recently completed fiscal year?

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Approximately what percentage of your clients are non-United States persons* and have a primary permanent address located in a foreign country?

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Indicate the approximate number of your clients and the amount of your regulatory assets under management (AUM)* attributable to each of the following types of clients.

Please note: The total amount of regulatory assets under management reported in this question must equal the total amount of regulatory assets under management reported in Step 5.

Type of Advisory Client

Number of Households*

Regulatory AUM

Individuals*:

High Net Worth Individuals*:

Banking or Thrift Institutions:

Investment Companies:

Business Development Companies:

Pooled Investment Vehicles:

Pension & Profit-Sharing Plans*:

Charitable Organizations:

State or Municipal Government Entities*:

Other Investment Advisers:

Insurance Companies:

Sovereign Wealth Funds & Foreign Official Institutions:

Corporations or Other Businesses Not Listed Above:

Other:

Total:

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What is the amount of your regulatory AUM* and the total number of accounts?

Please note: The total amount of regulatory AUM reported in this question must equal the total AUM reported in the previous question (Step 4).

Type of Account

U.S. Dollar Amount

Total Number of Accounts*

Discretionary:

Non-Discretionary*:

Total:

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If you provide financial planning services, how many clients* did you provide these services to during your last fiscal year?

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Do you participate in a Wrap Fee Program? 

Provide the percentage of AUM* for each of the following asset types.
The total must equal 100%.

Please round percentages to the nearest whole number.

Asset Type

As of December 31st

Exchange-Traded Equity Securities (e.g., common stock, ETFs, MLP, preferred stock, etc.):

Non-Exchange-Traded Equity Securities (e.g., private equity and limited partnerships):

U.S. Government/Agency Bonds:

U.S. State & Local Bonds (e.g., municipal bonds):

Sovereign Bonds (e.g., debt security issued by a non-US national government):

Investment Grade Corporate Bonds:

Non-Investment Grade Corporate Bonds (e.g., junk bonds, high yield bonds, etc.):

Derivatives (e.g., warrants, options, swaps, futures contracts, etc.):

Securities Issued by Registered Investment Companies or Business Development Companies (e.g., mutual funds, unit investment trusts):

Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies) (e.g., hedge funds, certain private placement, and unit investment trusts):

Cash & Cash Equivalents:

Other:

Total:

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Are you an adviser to any private fund?

What percentage of AUM* do your custodian(s) hold?

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Is there any additional information or specific details you would like to share with us at this time?

Your Form ADV update is now complete.

Upon clicking submit, a report summary will be emailed to you and your team.

To delve into the findings and address any questions, we recommend scheduling your annual review meeting with AdvisorLaw at your earliest convenience.