Form ADV Part 1 is the foundational filing used by investment advisers to register with the SEC or state regulators. It provides regulators with key administrative and operational information about the advisory firm. This video walks through what’s included and how it’s used in the registration process.

You’ll learn:

• What Form ADV Part 1 covers and why it’s required

• The difference between SEC and state registration via the IARD system

• Key sections, including firm ownership, disciplinary history, and AUM

• How this form connects to Parts 2A and 2B

• What details exam questions often test

📘 Related Exams: Series 63, Series 65, Series 66
🧠 Skill Level: Beginner
📈 Topics Covered: Investment adviser registration, Form ADV structure, regulatory disclosure, firm-level reporting