Information Collection

Form ADV

IC 34137 under ICR 201510-3235-021 · OMB 3235-0049.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0049 can be found here:

Documents and Forms

Document Name Document Type
Form SEC 1707 Form ADV Form and Instruction
SEC 1707 Form ADV- Instructions formadv-instructions.pdf www.sec.gov/about/forms/formadv.pdf Form and Instruction
SEC 1707 Form ADV formadv.pdf Form
SEC 1707 ADV Execution formadv-execution.pdf Form
SEC 1707 Form ADV Part 1 formadv-part1a.pdf Form
SEC 1707 Form ADV Part 2 formadv-part2.pdf Form
SEC 1707 Form ADV Part 1B Form-ADV-Part-1B.pdf Form
ADV Proposed Changes -appendix-a (2).pdf Proposed Changes IC Document
ADV Proposed Changes-appendix-b.pdf Proposed Changes IC Document
ADV Proposed Changes appendix-c.pdf Proposed Chages IC Document
ADV Proposed Changes -appendix-d.pdf Proposed Changes IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	Form ADV	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 279.1 17 CFR 279.204-4 17 CFR 275.204-1 17 CFR 275.203-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 1707	Form ADV- Instructions	formadv-instructions.pdf	http://www.sec.gov/about/forms/formadv.pdf	Yes	Yes	Fillable Fileable
Form	SEC 1707	Form ADV	formadv.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	Form ADV Part 2	formadv-part2.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	Form ADV Part 1B	Form-ADV-Part-1B.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	ADV Execution	formadv-execution.pdf		Yes	Yes	Fillable Fileable
Form	SEC 1707	Form ADV Part 1	formadv-part1a.pdf		Yes	Yes	Fillable Fileable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: SEC 50-Investment Adviser Records	FR Citation: 66 FR 7820

Number of Respondents: 14,514	Number of Respondents for Small Entity: 696

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	14,514	0	998	13,516
Annual IC Time Burden (Hours)	329,436	175,034	0	154,402
Annual IC Cost Burden (Dollars)	8,528,875	0	4,928,875	3,600,000

Documents for IC

Title	Document	Date Uploaded
Proposed Changes	ADV Proposed Changes -appendix-a (2).pdf	01/05/2016
Proposed Changes	ADV Proposed Changes-appendix-b.pdf	01/05/2016
Proposed Chages	ADV Proposed Changes appendix-c.pdf	01/05/2016
Proposed Changes	ADV Proposed Changes -appendix-d.pdf	01/05/2016

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.