Form ADV/A Files Dataset

Form ADV/A filings are amendments to Form ADV, the Uniform Application for Investment Adviser Registration, filed under the Investment Advisers Act of 1940. Form ADV is used by investment advisers to register with the SEC and state securities authorities and to report business practices, ownership, clients, employees, affiliations, and disciplinary history. Amendments are submitted to reflect material changes or as annual updating amendments. The dataset includes all Form ADV/A filings submitted to EDGAR from January 2002 to present. While most Form ADV amendments are filed through the Investment Adviser Registration Depository (IARD) system, a limited number of ADV/A submissions appear in EDGAR. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains updated identifying information for the investment adviser, revised disclosures regarding advisory business activities, assets under management, ownership and control persons, affiliated entities, and any changes to disciplinary history or regulatory status reported on the applicable schedules of Form ADV.

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