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https://www.law.cornell.edu/cfr/text/17/275.204-3
If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [ 17 CFR 279.1 ].
https://www.sec.gov/about/forms/formadv-part2.pdf
You also may be required to deliver a brochure supplement disclosing information about one or more of your supervised persons. Part 2 of Form ADV sets out the minimum required disclosure that your brochure (Part 2A for a firm brochure, or Appendix 1 for a wrap fee program brochure) and brochure supplements (Part 2B) must contain.
https://40act.com/laws-rules/investment-advisers-act-of-1940-rules/rule-204-3-delivery-of-brochures-and-brochure-supplements/
If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV. (b) Delivery requirements. Subject to paragraph (g), you (or a supervised person acting on your behalf) must:
https://www.sec.gov/oiea/investor-alerts-bulletins/ib_formadv.html
Jun 24, 2016 · Brochure Supplement Part 2B of Form ADV is called the “brochure supplement.” An investment adviser must give a client a brochure supplement for each individual that it supervises who: (1) formulates investment advice for that client and has direct client contact; or (2) makes discretionary investment decisions for that client’s assets ...
https://www.paulhastings.com/docs/default-source/PDFs/1706.pdf
Brochure and Brochure Supplement below. We also attach a chart that summarizes and compares the format, disclosure and delivery requirements of the current Form ADV Part 2 and the newly revised Form ADV Part 2. 2. The Brochure and Brochure Supplement The newly revised ADV Part 2 consists of two parts, Part 2A and Part 2B. Part 2A, the ...File Size: 908KB
http://www.rld.state.nm.us/uploads/files/Instructions%20for%20Part%202B.pdf
Instructions for Part 2B of Form ADV: Preparing a Brochure Supplement . 1. For which . supervised persons. must we prepare a . brochure supplement? As an initial matter, if you have no . clients. to whom you must deliver a . brochure supplement (see Instruction 2 below), then you need not prepare any . brochure supplements. Otherwise, you must ...File Size: 104KB
https://www.ria-compliance-consultants.com/2011/04/new-form-adv-part-2-delivery-requirements/
Generally, an investment advisor must deliver to each client a brochure supplement for a supervised person at or before the time that supervised person begins providing advisory services to the client.
https://www.sec.gov/fast-answers/answersformadvhtm.html
Mar 11, 2011 · Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. The form consists of two parts. Part 1 requires information about the investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary ...
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