Form ADV-E Files Dataset

Form ADV-E is a filing required under Rule 206(4)-2 of the Investment Advisers Act of 1940. It must be submitted by independent public accountants conducting annual surprise examinations of investment advisers that have custody of client funds or securities, and serves to make examination certificates publicly accessible for Commission review. The dataset includes all Form ADV-E filings submitted to EDGAR from December 2001 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the certificate of accounting from the independent public accountant, identification of the investment adviser examined, the date and scope of the surprise examination, and, in cases of engagement termination, a statement explaining any issues related to examination scope or procedure.

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