Form ADV Architect
Easily draft your “plain English” disclosure language.
Form ADV Part 2 mandates require firms to provide clients with “plain English” narrative descriptions of their advisory businesses, services and conflicts of interest, along with supplemental information on specific individuals providing investment advice or client servicing.
The NRS Solution
Meet SEC-mandated requirements for Part 2 with the ComplianceGuardian Form ADV Architect Module. Create, maintain and archive your “plain English” firm brochure and brochure supplements. With ComplianceGuardian’s Form ADV Architect Module, you benefit from our experience with drafting thousands of Form ADVs. We have used our knowledge to develop a technology tool that helps you meet the equirements, mitigate your risks, save you time and protect your reputation.
Features and Benefits
- Create “plain English” disclosure language- The Module guides you in creating “plain English” brochures for your firm. Unlike other template tools, the Module prompts you to answer questions about your firm and supervised persons, then efficiently drafts the appropriate language as the foundation of the advisers’ brochures.
- Customize and save your brochure - After you draft your disclosure language, customize the content when you insert firm-specific information. Once completed, the brochures can be saved in any number of formats, including the IARD-required text searchable PDF format.
- Meet brochure filing requirements - Successfully communicate potential conflicts of interest and personnel information such as disciplinary actions or professional experience to clients and prospects in “plain English” while simultaneously meeting or exceeding all other Form ADV Part 2 requirements.
- Create brochure supplements - Brochure supplements can be created individually, for the entire firm or grouped together to mirror your branch structure easily without re-entering any data. Easily create brochure variations by setting up groups of advisers that you need included in your Part 2B brochure. Once you select the individuals and build your group, the Module will combine their information into a single brochure.
For more information on the Form ADV Architect Module or any of our solutions to help you meet your compliance needs, contact us today.