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?

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

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

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

What is the approximate amount of your total regulatory assets under management attributable to clients who are non United States persons*?

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

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 6.

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:

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

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

Please note: The total amount of regulatory AUM reported must equal the total AUM reported in Step 5.

Type of Account

U.S. Dollar Amount

Total Number of Accounts*

Discretionary:

Non-Discretionary*:

Total:

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

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

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

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 Funds*:

Non-Exchange-Traded Equity Securities*:

U.S. Government/Agency Bonds:

U.S. State & Local Bonds*:

Sovereign Bonds*:

Investment Grade Corporate Bonds:

Non-Investment Grade Corporate Bonds*:

Derivatives*:

Securities Issued by Registered Investment Companies or Business Development Companies*:

Securities Issued by Pooled Investment Vehicles*:

Cash & Cash Equivalents:

Other:

Total:

For additional guidance or definitions of key terms, simply hover your mouse over the text containing an asterisk (*). This interactive feature provides quick access to relevant information.

Are you an adviser to any private fund?

Please list the custodian's name and the amount (in dollars) held.

You do not need to report AUM for custodians holding less than 10%. Please only list custodians who individually hold more than 10%.

Custodian's Name

Amount

Do you have custody of any advisory clients’ cash or bank accounts or securities?

In connection with advisory services you provide to clients, do any of your related persons* have custody of any of your advisory clients' cash, bank accounts, or securities?

How many separate custodians have custody of these assets?

If you are filing your annual updating amendment and were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date the examination commenced:

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 your team.

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