How to read Form ADV
Form ADV connects an investment adviser’s identity, business and disclosures. Read the right part of the filing, keep its dates attached, and separate what the firm reports from what a comparison can prove.
Read the guideFiling guides
Read the records behind RIA industry news
Understand what adviser disclosures, asset comparisons, offering notices and quarterly holdings reports can tell you—and where their evidence ends.
Regulatory AUM vs AUM: reading reported asset changes
Regulatory assets under management is a defined filing measure. An asset total is useful only when its identity, calculation scope and dates travel with it.
Read the guideWhat Form D filings reveal about an offering
Form D is a notice of an exempt securities offering. It can support reporting about a disclosed offering, but its amounts and dates need careful interpretation.
Read the guideHow to read Form 13F filings and holdings changes
A Form 13F report describes covered securities at a quarter end. Its filing date, amendment status and reporting scope matter as much as the positions themselves.
Read the guideEach guide links the primary documents used to check its explanations. For how editions and selected stories are produced, read our methodology and source coverage.