For as long as the SRO is registered plus six years. This form is used to apply for registration as an investment adviser or to amend a registration. It consists of two parts. Part I contains general and personal information about the applicant. Part II contains information relating to the nature of the applicant's business, including basic operations, services offered, fees charged, types of clients advised, educational and business backgrounds of associates and other business activities of the applicant.
Filings are available on microfiche.
No paper copy is maintained. For as long as the investment adviser is registered plus ten years. Included in this category are certain banks, insurance companies, investment advisers, investment companies, foundations and pension funds. Filings for the current quarter are available in paper copy. Filings are also available in microfiche.