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:
- 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“).