Form ADV Analyzer Report

Form ADV Analyzer Report

Quick Overview

Form ADV Analyzer uses the filings of over 35,000 SEC and state-registered advisers and houses over 200,000 historical Form ADVs filed since 2013. We use this data to test your firm’s accuracy, consistency and frequency against your peers to see if you’re an outlier in the SEC’s eyes.

Availability: In stock

Pubcode: ARGADVRPT
Price: $5,000.00

Form ADV Analyzer Report

Learn how consistent, or inconsistent, your regulatory filings are with the market and see how the SEC would view your filing!

Form ADV Analyzer looks at your current and previous year’s Form ADV and scores the quality of your ADV filing compared to the market. The SEC is using more sophisticated data mining techniques to identify outliers that may indicate weak and strong compliance cultures and uses the results to consider which advisers to target for exams.

If Form ADV Analyzer sees errors in your filings, so does the SEC. The resulting Form ADV Analyzer report gives you and your firm insight into the risk ranking of your firm and identifies the problem areas that need your attention.

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The Form ADV Analyzer report helps you:

  • Identify which specific areas of your Form ADV need attention so you can improve your compliance program.
  • Gain insight into how you score against your peers based on your last two Form ADV filings.
  • Ensure you aren’t seen as an outlier to the SEC.

The Form ADV Analyzer report delivers:

  • Analysis of 196 Form ADV fields for accuracy identifying specific areas that are “red flags.”
  • Analysis of over 700 fields in the 17 Form ADV sections for consistency, identifying specific areas that are “red flags.”
  • An overall quality score and scores on three main areas important to the SEC – accuracy, consistency and frequency.

If you need any assistance while ordering, please e-mail customer service at customer@regcompliancewatch.com  or call toll-free 1-800-455-5844, option 2, prompt 4.