IA_Seminar Recap

October 25, 2012

ADV Part 2A-2B Seminar Recap

On March 2, 2011 the Colorado Division of Securities released a Notice of Electronic Filing Requirement for Existing Investment Advisers.  As the Notice states, the Colorado Securities Commissioner requires that all existing state licensed investment advisers must convert their Form ADV Part II and Schedule F (or brochure document) to the new ADV Part 2A-2B narrative format, and mandates that the form be uploaded to the Investment Advisory Registration Depository (IARD) system no later than June 30, 2011.

To assist the Colorado investment adviser community in complying with this requirement, the Colorado Division of Securities conducted ten seminars for state licensed investment advisers which were dedicated to the new ADV Part 2A-2B document.

The ADV Part 2A-2B Seminar/Workshops were designed to cover:

·        How to approach the document.

·        How to work with the document.

·    How to upload the document to the IARD system.

·    How to maintain the document going forward.

For those Investment Advisers who were not able to attend the Seminars/workshops, the following links will provide guidance and instructions that will assist in completing the required conversion and mandatory upload:

IA ADV Part2 Guidlines

IA ADV Part2 Instructions

IA ADV Part2 Firm User