Simple Form ADV Solutions data collection tool helps you gather and store your pertinent data prior to filing your Annual ADV update.  Designed to help the RIA Compliance DIYers as well as assisting compliance consulting firms collect, organize and file your Form ADVs in a timely manner. No more spreadsheets back and forth, just a simple online data collection tool.

We have updated our solution to include the new ADV Marketing Activities questions for 2022.

  • Easy to access - We provide a web-based link where you establish secure login credentials. Secure credentials then allow Advisers to enter and save their Form ADV data, which can be accessed, changed or downloaded at any time. 
  • Easy to use - Clear, precise, and intuitive. The web-based collection tool eliminates the need for Adviser’s to e-mail sensitive data back and forth with their employees, consultants, vendors, etc. and is the perfect way to help Advisers (more specifically, the Chief Compliance Officer) collect, organize and submit their complex Form ADV related information.  
  • Data Simplification - The Collection Tool easily categorizes an Adviser’s data, as required by regulators. 
  • Recordkeeping - Various items in Form ADV Part 1A, such as the number of clients in particular client categories in Item 5.D or the amount of RAUM in Item 5.F. require advisors to perform calculations and make interpretive determinations.  To ensure a consistent reporting methodology in the future and be prepared for subsequent inquiries by regulators, you can now use your final Collection Tool document as support mechanism.  A great addition to an Adviser’s required books & records.  
  • Data Safety - Your encrypted data maintained in compliance with SEC Rule 17a-4 and GDPR.  
  • Filing Help - If you are seeking help to review your ADV, engage a compliance consultant, or need help filing your Form ADV, we work with many compliance consultants and consulting firms that are ready to help you.

If you would like to learn more about or Simple Form ADV Solutions, please click the button below to schedule a call with us.