Form Adv

CaseMark's Form ADV skill automates the drafting of complete SEC and state investment adviser registration filings, including Parts 1A, 1B, 2A, and 2B. It transforms your entity documents, advisory agreements, compliance policies, and personnel records into a cohesive, internally consistent filing package ready for compliance review and IARD submission.

Drafting Form ADV is one of the most labor-intensive tasks in investment adviser compliance. Each filing requires meticulous coordination across four interconnected parts, with data points that must be consistent across IARD responses, client brochures, and personnel supplements. Manual drafting is error-prone, time-consuming, and creates significant risk of inconsistencies that can trigger regulatory scrutiny.

CaseMark uses AI to extract and organize information from your source documents, automatically populating all Form ADV parts with consistent, accurate responses. The platform cross-references data across parts to eliminate inconsistencies, drafts the Part 2A brochure in SEC-compliant plain English, and generates a comprehensive Open Issues list so your compliance team can focus on substantive review rather than document assembly.

How it works

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

2. 2. AI extracts key data points and populates all Form ADV parts with internally consistent responses

3. 3. Review the generated Parts 1A, 1B, 2A, and 2B along with the flagged Open Issues list

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