Form ADV
E453751
Form CRS
U.S. securities regulation form
disclosure document
narrative brochure
regulatory filing
regulatory filing component
Form ADV is a mandatory disclosure document that investment advisers file with the U.S. Securities and Exchange Commission to provide detailed information about their business, services, fees, conflicts of interest, and disciplinary history.
All labels observed (4)
| Label | Occurrences |
|---|---|
| Form ADV canonical | 2 |
| Form ADV Part 1 | 1 |
| Form ADV Part 2 | 1 |
| Form ADV Part 3 | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T4575633 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Form ADV Context triple: [SEC filings, includesFormType, Form ADV]
-
A.
Form
Form is Symfony’s form component, providing a structured, extensible system for building, processing, and validating web forms in PHP applications.
-
B.
Form BD
Form BD is the uniform application form that broker-dealers use to register with and provide key disclosure information to the U.S. Securities and Exchange Commission and self-regulatory organizations.
-
C.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
D.
Form R
Form R is a detailed environmental reporting form used by U.S. facilities to annually disclose releases and waste management of listed toxic chemicals under the Toxics Release Inventory program.
-
E.
Form U4
Form U4 is the uniform registration form used by broker-dealer and investment adviser representatives in the United States to apply for and update their licensing and disclosure information with regulators.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Form ADV Target entity description: Form ADV is a mandatory disclosure document that investment advisers file with the U.S. Securities and Exchange Commission to provide detailed information about their business, services, fees, conflicts of interest, and disciplinary history.
-
A.
Form
Form is Symfony’s form component, providing a structured, extensible system for building, processing, and validating web forms in PHP applications.
-
B.
Form BD
Form BD is the uniform application form that broker-dealers use to register with and provide key disclosure information to the U.S. Securities and Exchange Commission and self-regulatory organizations.
-
C.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
D.
Form R
Form R is a detailed environmental reporting form used by U.S. facilities to annually disclose releases and waste management of listed toxic chemicals under the Toxics Release Inventory program.
-
E.
Form U4
Form U4 is the uniform registration form used by broker-dealer and investment adviser representatives in the United States to apply for and update their licensing and disclosure information with regulators.
- F. None of above. chosen
Statements (70)
| Predicate | Object |
|---|---|
| instanceOf |
Form CRS
ⓘ
U.S. securities regulation form ⓘ disclosure document ⓘ narrative brochure ⓘ regulatory filing ⓘ regulatory filing component ⓘ |
| abbreviationFor | Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers ⓘ |
| accessibleVia |
Investment Adviser Public Disclosure website
ⓘ
linked to:
Investment Adviser Registration Depository
|
| appliesTo |
SEC-registered investment advisers
ⓘ
exempt reporting advisers ⓘ investment advisers ⓘ investment advisers serving retail investors ⓘ state-registered investment advisers ⓘ |
| contentFocus |
client relationship summary
ⓘ
organizational and regulatory information about the adviser ⓘ plain-English disclosure for clients and prospective clients ⓘ |
| disclosureStandard | fiduciary duty to clients under the Investment Advisers Act of 1940 ⓘ |
| filedElectronically | true ⓘ |
| filedWith |
Investment Adviser Registration Depository
ⓘ
SEC ⓘ |
| hasPart |
Form ADV Part 1
ⓘ
linked to:
Form ADV
Form ADV Part 2 ⓘ
linked to:
Form ADV
Form ADV Part 3 ⓘ
linked to:
Form ADV
|
| includesInformationOn |
brokerage practices
ⓘ
brokerage practices and soft dollars ⓘ business practices of the adviser ⓘ client referrals and other compensation ⓘ client types and minimum account sizes ⓘ code of ethics ⓘ conflicts of interest ⓘ conflicts of interest and disciplinary history ⓘ conflicts of interest and how they are addressed ⓘ custody of client assets ⓘ disciplinary events ⓘ disciplinary history ⓘ disciplinary information ⓘ employees and business operations ⓘ fees and compensation ⓘ fees, costs, and standard of conduct ⓘ financial condition of the adviser ⓘ financial industry affiliations ⓘ financial information ⓘ how to obtain additional information ⓘ investment strategies and risks ⓘ methods of analysis and investment strategies ⓘ other business activities ⓘ ownership and control of the adviser ⓘ ownership structure ⓘ performance-based fees and side-by-side management ⓘ proxy voting policies ⓘ regulatory assets under management ⓘ review of accounts ⓘ services and fees ⓘ soft dollar benefits ⓘ types of advisory services offered ⓘ types of services for retail investors ⓘ |
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| publiclyAvailable | true ⓘ |
| purpose |
enhance transparency of investment advisory business practices
ⓘ
provide disclosure to clients and prospective clients of investment advisers ⓘ provide information to regulators about investment advisers ⓘ |
| regulator |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
|
| regulatoryFunction | support examination and oversight of investment advisers ⓘ |
| requiredBy | Investment Advisers Act of 1940 ⓘ |
| updateFrequency | at least annually ⓘ |
| updateRequirement | promptly upon material changes ⓘ |
| usedBy |
compliance professionals
ⓘ
current clients ⓘ prospective clients ⓘ regulators ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Form ADV Description of subject: Form ADV is a mandatory disclosure document that investment advisers file with the U.S. Securities and Exchange Commission to provide detailed information about their business, services, fees, conflicts of interest, and disciplinary history.
Referenced by (5)
Full triples — surface form annotated when it differs from this entity's canonical label.