form-adv

name	form-adv
title	Form ADV Parts 1 and 2
description	Drafts SEC- or state-filed Form ADV Parts 1A/1B/2A/2B for investment adviser registration, producing IARD-ready responses, brochures, and supplements. Use when drafting or amending Form ADV, preparing RIA registration, building Part 2A brochures or Part 2B supplements, or compiling IARD filings. Trigger: "Form ADV", "RIA registration", "investment adviser brochure", "Part 1A", "Part 1B", "Part 2A", "Part 2B", "IARD", "SEC filing", "state registration".
author	CaseMark
author_url	https://github.com/CaseMark/skills/tree/main/skills/legal/form-adv
license	Apache-2.0
version	0.1.0
execution_mode	open
jurisdiction	us
practice	investment-funds
language	en

Form ADV Parts 1 and 2

Produces a complete, internally consistent Form ADV (Parts 1A/1B/2A/2B) ready for compliance review and filing.

Prerequisites

Gather before drafting:

• Entity formation docs and ownership cap table
• AUM calculations (discretionary / non-discretionary)
• Advisory agreements, fee schedules, billing policies
• Compliance manual, code of ethics, custody and proxy voting policies
• Affiliations and related-person disclosures
• Disciplinary history for firm and management persons
• Advisory services list and client types
• Supervised person bios (Part 2B)
• Prior filings or amendments (if any)
• Target jurisdiction(s) and state-specific requirements

Deliverables

• Part 1A responses (IARD-ready)
• Part 1B (if state-registered)
• Part 2A brochure (plain-English, client-facing)
• Part 2B supplements (per supervised person)
• Cover page with filing date
• Open Issues list for missing or unverified data

Workflow

1. Intake — Populate Data Table

Data Point	Notes
Legal name / DBAs	Match formation docs
CRD / SEC file number	If existing registration
Principal office / mailing	Consistent across all parts
CCO name / contact	Confirm authority
Ownership 25%+	Supports Schedules A/B
RAUM (disc / non-disc)	Current SEC instructions
Client types / counts	Match agreements
Services offered	Match marketing materials
Fees / billing	Match agreements
Affiliations	Related persons list
Custody status	Flag direct fee deduction
Disciplinary events	Never infer absence — verify

2. Draft Part 1A

• Identifying info, organization form, fiscal year
• Owners, control persons, org chart
• Advisory services and business activities
• RAUM calculations and methodology
• Client types and counts
• Private fund reporting (if applicable)