WHITEPAPER: SEC Form ADV Filings Designing Your Risk Framework


WHITEPAPER: SEC Form ADV Filings Designing Your Risk Framework

Form ADV is a regulatory document required by the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. Over 25,000 firms registered with the SEC file Form ADV annually, providing a comprehensive overview of the firm, disclosures, private fund details, and service providers.

This results in a vast dataset of over 21 million records, representing more than 200,000 relationships across asset managers and private funds. Such an extensive dataset is invaluable for determining risk, establishing best practices, and identifying industry trends. Despite its richness, not all asset allocators view risk factors, similarly, necessitating a customized approach to match their diverse risk preferences. Moreover, risk factors manifest differently across various types of asset managers.

This whitepaper addresses the following topics:

  • Potential risk flags to review and benchmark 
  • Flag key filing changes at the firm and the private fund level

Download the whitepaper to learn about key potential risk areas that asset allocators should consider when designing their risk framework. It also highlights essential data points and changes to review when investment advisors update their Form ADV filings.

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