Form ADV

This 2011 plain-English brochure from Peconic Partners describes a lawsuit naming a firm principal.

The SEC is electing to not repeat its tiered filing fee system for the new exempt reporting advisers and for private fund advisers expected to ...

This is the 2011 Form ADV, Part 2a brochure for iCapital, a Boston-based RIA that largely serves qualified retirement plans, pension and profit sharing plans.

This could be one lottery you wouldn't want to win. Staffers within the SEC's Office of Investment Adviser Regulation have been instructed to "read a ...

By now, most advisers have supplied their brochure supplements to new and existing clients and are aiming to provide them to existing clients by the ...

Only months after you've revamped your Form ADV, Part 2 plain-English brochure, you'll be tackling a generously modified version of Form ADV, Part I when ...

This is the 2011 Form ADV, Part 2 for a Chicago RIA. The brochure mentions a trade rotation policy.

This is the 2011 Form ADV of Astor Asset Management in Chicago.

This is a red-lined version of the anticipated 2012 Form ADV, Part I. This file comes from the SEC.

This is the 2011 ADV for Knightsbridge Asset Management in Newport Beach, Calif. It contains a trade rotation policy.