The Form ADV Part 1A requests information about the adviser, and any advisory Affiliates. An Advisory Affiliate is defined as 1) all current employees (other than clerical); 2) all of officers, partners, or directors (or other person performing similar functions); and 3) all person directly or indirectly controlling the adviser, or controlled Here is how we are completing this section of the SEC ADV Part 1 Item 9 Custody for 2020: Having $153 million reported as having custody was a process. the OMB estimates that it requires 23.77 hours for RIAs to comply with Form ADV Part 1 and 29.28 hours but on which we have already spent countless hours of compliance efforts reading (1) Indicate the date you obtained your legal status. Date of formation: (MM/DD/YYYY) (2) Indicate your IRS Employer Identification Number: Your Name CRD Number Date SEC 801 or 802 Number FORM ADV Part 1B Page 4 of 4 Media Contacts: Jeanne Hamrick, Director of Communications | Karen Grajales, Manager, Communications and Investor Outreach Revisions to Form ADV Part 1B. (Implemented on IARD October 2012) The Members of the North American Securities Administrators Association, Inc. ("NASAA") have approved revisions to Part 1B of the Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers ("Form ADV"). Form ADV is used by investment advisers to register and/or report with the appropriate state securities regulators and the Securities and Exchange Commission ("SEC"). Schedule A - Direct Owners and Executive Officers. Complete Schedule A only if you are submitting an initial application. Schedule A asks for information about your direct owners and executive officers. Use Schedule C to amend this information. Direct Owners and Executive Officers. List below the names of: Beginning on October 1, 2017, all investment advisers filing Form ADV must use an amended version of Part 1A of the form that was adopted by the Securities and Exchange Commission ("SEC") on August 25, 2016. The revised Form ADV Part 1A contains several new and revised items. The amended form, among other things, requires certain information about separately managed accounts ("SMAs While it is now requested in the Form ADV Part 2 instructions, many registered investment advisor firms still fail to provide a summary of the investment advisor's code of ethics and the availability of the entire code of ethics policy upon a client's request. This is a requirement for SEC registered investment advisor firms and most state Part of our job at RIA in a Box as registered investment adviser (RIA) compliance consultants is helping to interpret compliance regulations and filing instructions and translating these into understandable, simple guidance for our clients. One of the more interesting sections in the Form ADV Part 1 in this regard is the Employees section. Form ADV Part 1A Item 5.A. How you can fill out the Form adv part 1 b fillable on the web: To begin the document, use the Fill camp; Sign Online button or tick the preview image of the document. The advanced tools of the editor will lead you through the editable PDF template. Enter your official identification and contact details. You must pay FINRA (the operator of the IARD) an initial filing fee when you first electronically file Part 1A of Form ADV. After you pay the initial filing fee, you must pay an annual filing fee each time you file your annual updating amendment. No portion of e