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Form ADV Parts 1 and 2

Draft SEC Form ADV in Minutes, Not Days

25 minutes with CaseMark

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Upload your documents and get a finished work product in minutes. New accounts get $5 free to run their first skill.

25 minutes with CaseMark

What you'll need

  • Firm Information Sheet
  • Assets Under Management Data
  • Fee Schedule and Compensation Details
  • Supervised Person Information

SOC 2 Type II · HIPAA compliant · $5 free credit

Workflow

Overview

Preparing Form ADV Parts 1 and 2 manually requires gathering information across multiple sources, researching current SEC requirements, and ensuring compliance with both federal and state regulations. Investment advisers and compliance officers spend 8+ hours drafting, cross-referencing official guidance, and formatting these critical registration documents, all while risking errors that could delay approval or trigger regulatory scrutiny.

Investment advisers spend 15-20 hours manually drafting Form ADV Parts 1 and 2, navigating complex SEC regulations while ensuring plain English client disclosures. The process requires coordinating multiple data sources, cross-referencing regulatory requirements, and maintaining consistency across structured Part 1 responses and narrative Part 2 brochures. Annual updates and material change amendments add recurring compliance burdens that divert resources from client service.

CaseMark automates Form ADV preparation by intelligently structuring your firm information into SEC-compliant Part 1 responses and plain English Part 2 brochures. Our AI analyzes your inputs to generate comprehensive disclosures covering advisory services, fee structures, conflicts of interest, investment strategies, and risk factors while ensuring consistency across all sections. Generate complete filings with brochure supplements in under 30 minutes, ready for IARD submission.

How it works

  1. 1. Upload your documents

  2. 2. AI analyzes and extracts key information

  3. 3. Review and customize the generated content

  4. 4. Export in your preferred format (DOCX, PDF)

What you get

  • Part 1A: Firm Information

  • Part 1A: Employees and Clients

  • Part 1A: Participation in Client Transactions

  • Part 1B: State-Specific Information

  • Part 2A: Firm Brochure (Items 1-18)

  • Part 2A: Item 8 - Methods of Analysis and Risk

  • Part 2A: Item 11 - Code of Ethics

  • Part 2B: Brochure Supplement (Individual Advisers)

What it handles

  • Part 1A: Firm Information

  • Part 1A: Employees and Clients

  • Part 1A: Participation in Client Transactions

  • Part 1B: State-Specific Information

  • Part 2A: Firm Brochure (Items 1-18)

  • Part 2A: Item 8 - Methods of Analysis and Risk

  • Part 2A: Item 11 - Code of Ethics

  • Part 2B: Brochure Supplement (Individual Advisers)

Required documents

  • Firm Information Sheet

    Legal name, ownership structure, registration status, SEC/state file numbers, principal office and branch locations, formation documents

    .pdf, .docx, .xlsx

  • Assets Under Management Data

    Total AUM breakdown by discretionary/non-discretionary, client categories, number of accounts, regulatory assets under management calculations

    .xlsx, .csv, .pdf

  • Fee Schedule and Compensation Details

    Asset-based fee tiers, hourly rates, fixed fees, performance fee structures, billing practices, third-party compensation arrangements

    .pdf, .docx, .xlsx

  • Supervised Person Information

    Names, CRD numbers, educational background, employment history, professional designations, disciplinary history for all advisory personnel

    .xlsx, .pdf, .docx

Supporting documents

  • Regulatory and Disciplinary History

    Details of any criminal, civil, administrative, or SRO proceedings involving the firm or management persons

    .pdf, .docx

  • Code of Ethics

    Current code of ethics document outlining fiduciary standards, personal trading policies, and compliance procedures

    .pdf, .docx

  • Soft Dollar and Brokerage Arrangements

    Details of research services, broker-dealer relationships, commission arrangements, and soft dollar benefits received

    .pdf, .docx, .xlsx

  • Investment Strategy Documentation

    Description of investment philosophy, methods of analysis, principal strategies, risk management approaches, and research sources

    .pdf, .docx

  • Financial Statements

    Most recent fiscal year-end balance sheet if firm has custody, requires prepayment, or has financial condition concerns

    .pdf

  • Previous Form ADV Filing

    Prior year Form ADV for annual updates to identify material changes and ensure consistency

    .pdf

Why teams use it

Generate complete Form ADV Parts 1 and 2 in 12 minutes with AI-powered automation

Automatically cite and verify SEC regulations from official sources like sec.gov

Extract firm-specific data from uploaded documents using intelligent RAG technology

Ensure compliance with current federal and state registration requirements

Reduce preparation time by 97% compared to manual drafting processes

Questions

How does CaseMark ensure Form ADV compliance with current SEC regulations?

CaseMark's Form ADV generator is built on the latest SEC requirements under the Investment Advisers Act of 1940 and incorporates guidance from Rules 204-1 and 204-3. The system prompts for all required disclosures, flags missing information, and structures responses according to current IARD filing specifications. Our AI is regularly updated to reflect regulatory changes and SEC examination priorities, ensuring your filings meet current compliance standards.

Can CaseMark help with both initial Form ADV registration and annual updates?

Yes, CaseMark supports both initial Form ADV filings for new investment advisers and annual updating amendments for existing firms. For annual updates, you can upload your previous Form ADV and the system will identify sections requiring updates, generate a summary of material changes, and ensure consistency with prior disclosures. The platform handles both SEC-registered and state-registered adviser requirements, including state-specific Part 1B supplemental information.

Does the AI write Part 2 brochures in plain English as required by the SEC?

Absolutely. CaseMark generates Part 2A firm brochures and Part 2B brochure supplements using clear, accessible language that complies with SEC plain English requirements. The AI avoids legal jargon, uses active voice, employs short sentences, and organizes information logically with descriptive headings. All disclosures are written to be understandable by retail clients while maintaining the technical accuracy required for regulatory compliance.

What happens if my firm has complex conflicts of interest or disciplinary history?

CaseMark handles complex disclosure scenarios including soft dollar arrangements, affiliated broker-dealers, performance fees, principal transactions, and regulatory proceedings. The system prompts for detailed information about conflicts and disciplinary events, then drafts comprehensive disclosures that meet SEC standards for materiality and transparency. For particularly complex situations, the AI provides guidance on disclosure best practices while allowing you to customize language to fit your specific circumstances.

How does CaseMark maintain consistency between Part 1 and Part 2 responses?

The platform uses intelligent cross-referencing to ensure information disclosed in Part 1's structured responses aligns perfectly with Part 2's narrative disclosures. When you input data about assets under management, fee structures, services offered, or disciplinary history, CaseMark automatically populates both parts with consistent information. The system flags any discrepancies and ensures that numerical data, service descriptions, and material facts match across all sections of your Form ADV filing.

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