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Form ADV-E
What is it: Form ADV-E is filed by investment advisers that have custody of client funds or securities and that are subject to an annual surprise examination. All items in the form must be completed by the investment adviser. The accuracy and compliance of the form must be evaluated by an independent public accountant.
Filing Time:
Related Form(s):
ADV-H: filed by investment adviser to apply for a temporary or continuing hardship exemption.
ADV-NR: filed by non-resident general partner or a non-resident managing agent of an investment adviser to appoint secretary of the SEC (or equivalent officer) as the agent to receive service.
Tips: The purpose of the form is to ensure that the investment adviser has proper handling of client assets.