Form ADV disclosures
Form ADV disclosure requirements sit at the center of investment adviser compliance in the Financial and Capital Markets sector, with the U.S. Securities and Exchange Commission maintaining direct authority over Part 1 and Part 2 filing obligations, and the Financial Industry Regulatory Authority cross-referencing ADV data in broker-dealer oversight examinations. The SEC's 2019 amendments to Form ADV Part 3 (Form CRS) added layered disclosure obligations that many firms are still reconciling with their existing Part 2A brochure language. Cresthaven is actively monitoring this topic for new staff guidance, enforcement patterns, and any proposed rulemaking that touches ADV filing thresholds or disclosure scope.
Watch
- Form CRS content deficiencies flagged in recent SEC examination priorities
- Part 2A brochure amendments: annual update deadline and material change triggers
- SEC no-action relief requests tied to wrap fee program disclosure adequacy
- Regulatory assets under management calculation methodology under examiner scrutiny
- State securities regulators diverging from SEC on switch-to-RIA disclosure timing
Recent material activity in Financial & Capital Markets
Active monitoring in place across Financial & Capital Markets. Material developments related to form adv disclosures will appear here as they are published.