Question 1

What does the Form ADV extractor read?

Accepted Answer

The file or CRD number, the document date, the adviser name, address, phone, and website, the total assets under management (AUM), the regulatory status (enum, such as SEC-registered, state-registered, or exempt), the business type, the ownership structure, the year established, and the form type (enum, such as Part 1A or Part 2A).

Question 2

How is a Form ADV different from a Form D or an SEC 10-K?

Accepted Answer

A Form ADV is the registration disclosure an investment adviser files with the SEC or a state regulator — it describes the advisory business, AUM, fees, conflicts, and disciplinary history. A Form D is a notice of an exempt private securities offering, and a Form 10-K is a public company annual report. For those use the Form D or SEC 10-K extractors.

Question 3

Which fee and conduct fields come out?

Accepted Answer

The fee structure type (enum), the minimum account size, whether the adviser charges performance-based fees, whether it has discretionary authority, whether it uses soft dollars, whether it takes compensation from third parties, whether it uses sub-advisers, the material conflicts of interest, and the investment restrictions each come back as fields.

Question 4

Are the control persons, fees, and disciplinary history returned as tables?

Accepted Answer

Yes. A control persons table returns each name, title, percent ownership, and business experience; a fee schedule table returns each service type, fee basis, rate, and minimum fee; a disciplinary history table returns each date, type, description, and resolution; and advisory services, key personnel, and affiliates tables come back too.

Question 5

What are the file limits and privacy terms?

Accepted Answer

PDF only, up to 10MB and 100 pages. The filing is processed via the Talonic API for extraction only, is not retained for training, and is not shared.

Form ADV Extractor

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