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Form Adv

Draft IARD-Ready Form ADV in Minutes, Not Hours

15 minutes with CaseMark

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Best for a quick one-off job. Add your email, upload the files, and we'll run the workflow and send the result to your inbox.

1. Add your email so we know where to send the result.

2. Upload the files you want analyzed.

3. Run the workflow and we'll take it from there.

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Save and reopen matters, keep documents together, refine the output, rerun with changes, and export or share polished work product when you're done.

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Scroll for the workflow details below if you want to review what this run handles, what documents help, and what the output looks like.

If this is part of a live matter, the workspace is the better fit: you can keep your documents together, revisit the result, and keep working without starting from scratch.

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Form Adv

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Form Adv

Overview

CaseMark's Form ADV skill automates the drafting of complete SEC and state investment adviser registration filings, including Parts 1A, 1B, 2A, and 2B. By analyzing your entity documents, advisory agreements, compliance policies, and personnel bios, it produces internally consistent, IARD-ready responses and plain-English client brochures in a fraction of the time required for manual preparation.

Drafting Form ADV is one of the most time-intensive tasks in investment adviser compliance. Manually populating dozens of IARD items, cross-referencing ownership structures, fee schedules, and disciplinary records across four interconnected parts, and then converting Part 2A into a client-friendly brochure can consume days of attorney and compliance officer time—with significant risk of inconsistencies and omissions.

CaseMark automates the entire Form ADV drafting process by ingesting your source documents and generating complete, internally consistent responses across Parts 1A, 1B, 2A, and 2B. The AI cross-references data points to ensure consistency, flags gaps for human review, and produces IARD-ready filings alongside polished client-facing brochures—turning a multi-day project into a streamlined workflow.

How it works

  1. 1. Upload entity formation documents, advisory agreements, compliance policies, and supervised person bios

  2. 2. AI analyzes your documents and populates every Form ADV data point across Parts 1A, 1B, 2A, and 2B

  3. 3. Review the complete draft with flagged open issues for missing or unverified information

  4. 4. Export IARD-ready filings and client-facing brochures in your preferred format (DOCX, PDF)

What you get

  • Part 1A IARD-Ready Responses

  • Part 1B State Registration Responses

  • Part 2A Client-Facing Brochure

  • Part 2B Supervised Person Supplements

  • Cover Page with Filing Date

  • Open Issues List

What it handles

  • Generates IARD-ready Part 1A responses with complete item-by-item coverage

  • Produces plain-English Part 2A brochures for client-facing disclosure

  • Creates individualized Part 2B supplements for each supervised person

  • Drafts Part 1B for state-registered advisers with jurisdiction-specific requirements

  • Flags open issues and missing data points for compliance review

  • Ensures internal consistency across all Parts and Schedules

Required documents

  • Entity Formation & Ownership Documents

    Articles of incorporation, operating agreements, partnership agreements, and ownership cap tables showing 25%+ owners and control persons

    .pdf, .docx

  • Advisory Agreements & Fee Schedules

    Client advisory agreements, fee schedules, and billing policies that define services offered, compensation, and client types

    .pdf, .docx

  • Compliance Manual & Policies

    Compliance manual, code of ethics, custody policies, proxy voting policies, and brokerage/soft dollar arrangements

    .pdf, .docx

Supporting documents

  • Prior Form ADV Filings

    Previously filed Form ADV or amendments for reference when preparing updates or annual amendments

    .pdf, .docx, .xml

  • Supervised Person Bios

    Education, business background, certifications, and disciplinary history for each supervised person requiring a Part 2B supplement

    .pdf, .docx

  • AUM Calculations

    Regulatory assets under management calculations broken down by discretionary and non-discretionary accounts

    .pdf, .docx, .xlsx

  • Disciplinary History Records

    Documentation of any disciplinary events, legal proceedings, or regulatory actions involving the firm or management persons

    .pdf, .docx

Why teams use it

Reduce Form ADV preparation time from days to minutes with AI-powered document analysis and drafting

Ensure internal consistency across all Parts and Schedules with automated cross-referencing

Minimize compliance risk with an Open Issues list that flags every missing or unverified data point

Generate professional, plain-English Part 2A brochures and Part 2B supplements ready for client distribution

Questions

Does CaseMark generate all four parts of Form ADV?

Yes. CaseMark drafts Part 1A, Part 1B (for state-registered advisers), Part 2A (the firm brochure), and Part 2B (supervised person supplements) as a complete, internally consistent package ready for compliance review.

Are the Part 1A responses formatted for IARD filing?

Absolutely. CaseMark structures Part 1A responses to align with IARD item numbers and formatting requirements, so your compliance team can transfer them directly into the IARD system with minimal reformatting.

How does CaseMark handle missing information?

CaseMark never infers the absence of data—especially for critical items like disciplinary history. Instead, it generates a detailed Open Issues list flagging every missing or unverified data point so your team can address gaps before filing.

Can I use this for amendments to an existing Form ADV?

Yes. Upload your prior filing along with updated documents, and CaseMark will identify changes and draft amended responses. This is ideal for annual updating amendments or material change filings.

Does the Part 2A brochure meet SEC plain-English requirements?

Yes. CaseMark drafts the Part 2A brochure in clear, client-facing plain English as required by SEC rules, covering all mandatory items including fees, conflicts of interest, disciplinary information, and advisory services.

Can CaseMark generate Part 2B supplements for multiple supervised persons?

Yes. Provide bios and background information for each supervised person, and CaseMark will generate individualized Part 2B supplements covering education, business background, disciplinary history, and outside business activities.

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