With the Filing Deadline Looming for Many Advisers, Seward & Kissel Attorneys Provide a Roadmap to Amended Form ADV

In August 2016, the SEC adopted a number of amendments to Part 1A of Form ADV, which took effect on October 1, 2017. Many advisers are now contending with the revised form in connection with their annual updates that are due March 31. A recent Seward & Kissel presentation offered an overview of the most material and vexing changes, offering practical advice on how to complete the revised form. The program featured Seward & Kissel partners Paul M. Miller, Patricia A. Poglinco and Robert B. Van Grover, along with counsel David Tang. This article summarizes the key points raised by the panelists. For more on the amendments, see our two-part series on what investment advisers need to know about the SEC’s revisions to Form ADV and the recordkeeping rule: “Managed Account Disclosure, Umbrella Registration and Outsourced CCOs” (Nov. 3, 2016); and “Retaining Performance Records and Disclosing Social Media Use, Office Locations and Assets Under Management” (Nov. 17, 2016). For additional insights from Van Grover and Poglinco, see “Pro-Business Environment of New Administration Continues to Have Challenges and Pitfalls for Private Funds” (Sep. 14, 2017); and “How Studying SEC Enforcement Trends Can Help Hedge Fund Managers Prepare for SEC Examinations and Investigations” (Sep. 8, 2016).

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