IA- Investment Adviser Registration Questionnaire

The Investment Adviser Registration Questionnaire is typically used for preparing prospective investment adviser applicants to become registered as either a SEC or State registered investment adviser.  Information captured on the Registration Questionnaire will allow the preparer of the Investment Adviser Registration Application to gain a better understanding of the size, scope and operational function of the proposed investment adviser when completing relevant registration materials to include the Form ADV Part 1, Part 2A/B, investment advisory agreement(s) and other additional registration documentation.

Version/Update: V.2/ June 2, 2017

Total Page Count: 12

Source/Author(s): Connexien