The forms your firm handles, and the work behind them
What each form is, who deals with it, and the data, document, and evidence work it creates across your stack. Most are filed with a regulator. Some, like Form 8879 and the investment policy statement, are never filed at all. For requirements and deadlines, each page points at the regulator's own guidance.
Form ADV family
Form ADV
Form ADV is the uniform registration and reporting form that investment advisers file with the SEC and state securities authorities through the IARD system.
IARD · SEC-registered RIAForm ADV Annual Updating Amendment
The Form ADV annual updating amendment is the once-a-year filing in which a registered investment adviser updates its entire Form ADV and affirms that the information in it is current.
IARD · SEC-registered RIAForm ADV Part 2A
Form ADV Part 2A is the investment adviser's narrative brochure: a plain-English document describing the firm's advisory business, fees, conflicts of interest, and disciplinary history.
IARD · SEC-registered RIAForm ADV Part 2B
Form ADV Part 2B is the brochure supplement: a short disclosure document covering the individual supervised persons who provide investment advice to a particular client.
IARD · SEC-registered RIAForm ADV-E
Form ADV-E is the certificate of accounting filed in connection with the surprise examination of an investment adviser that has custody of client funds or securities.
IARD · SEC-registered RIAForm ADV-W
Form ADV-W is the form an investment adviser files through IARD to withdraw from registration.
IARD · SEC-registered RIAForm CRS
Form CRS is the client or customer relationship summary: a short, plain-English document that registered investment advisers and broker-dealers must deliver to retail investors.
IARD · SEC-registered RIARegistration forms (U4, U5, BR)
Form U4
Form U4 is the Uniform Application for Securities Industry Registration or Transfer.
FINRA Gateway · Broker-dealerForm U5
Form U5 is the Uniform Termination Notice for Securities Industry Registration.
FINRA Gateway · Broker-dealerForm BR
Form BR is the Uniform Branch Office Registration Form.
FINRA Gateway · Broker-dealerPrivate fund and holdings reporting
Form PF
Form PF is the confidential reporting form that SEC-registered investment advisers to private funds file about the funds they manage.
PFRD · SEC-registered RIAForm 13F
Form 13F is the holdings report filed through EDGAR by institutional investment managers whose discretionary holdings in Section 13(f) securities exceed the SEC's reporting threshold.
EDGAR · SEC-registered RIATax and e-file authorization
Client documents (not filed)
Filing is the deadline. The data work is the job.
Caddi does not file forms. It runs what happens before and after: reconciling AUM and client counts out of Orion, Addepar, or Tamarac, pulling fields out of completed PDFs, filling and routing blank ones, chasing signatures and attestations, and evidencing delivery in the CRM.
See the compliance specialistWorking with the forms themselves rather than the deadlines? See PDF form filling and extraction for the underlying capability: reading fields out of completed forms and writing data into blank ones.