WHITEPAPER: 8 Ways Fund Service Providers Are Using Form ADV Dataset


WHITEPAPER: 8 Ways Fund Service Providers Are Using Form ADV Dataset

We bring you the final part of our three-part series on the many use cases of Form ADV data within the asset management industry. In part 3 of our Form ADV whitepaper, we focus on how service providers for asset managers (auditors, fund administrators, prime brokers, placement agents, custodians, law firms, managed service providers, and outsourced compliance firms) leverage the ADV dataset. 

Since Form ADV filings include valuable information regarding Registered Investment Advisors (RIAs), their profile and their structure, service providers can use the complete dataset to inform their decisions in business development, competitive strategy, relationship management, market research, and more. 

The whitepaper explores 8 ways fund service providers are using Form ADV dataset, a few of which are as follows:

  • Client Prospecting: Fund service providers, like custodians, tech vendors, and marketing firms, leverage Form ADV for targeted client identification based on AUM, firm size, location, etc.
  • Competitive Strategy: Normalized service provider data from the ADV filings can help understand competitive market share and if there are recent changes in the profile of the advisor and service provider relationship
  • Compliance and Due Diligence Assessment: Consultants and due diligence firms use Form ADV to evaluate RIAs’ regulatory compliance, scrutinizing criminal, civil, and regulatory disclosures and disciplinary history, potential conflicts, and other red flags

Download the whitepaper below to learn about additional ways service providers integrate the Form ADV dataset into their business strategy.

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