Form Adv (Paper Version) - Uniform Application For Investment Adviser Registration And Report By Exempt Reporting Advisers Page 2

ADVERTISEMENT

FORM ADV
(Paper Version)
UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
AND
• REPORT BY EXEMPT REPORTING ADVISERS
STATE-REGISTERED INVESTMENT ADVISER EXECUTION PAGE
You must complete the following Execution Page to Form ADV. This execution page must be signed and attached
to your initial application for state registration and all amendments to registration.
1. Appointment of Agent for Service of Process
By signing this Form ADV Execution Page, you, the undersigned adviser, irrevocably appoint the legally designated
officers and their successors, of the state in which you maintain your principal office and place of business and any
other state in which you are applying for registration or amending your registration, as your agents to receive
service, and agree that such persons may accept service on your behalf, of any notice, subpoena, summons, order
instituting proceedings, demand for arbitration, or other process or papers, and you further agree that such service
may be made by registered or certified mail, in any federal or state action, administrative proceeding or arbitration
brought against you in any place subject to the jurisdiction of the United States, if the action, proceeding or
arbitration (a) arises out of any activity in connection with your investment advisory business that is subject to the
jurisdiction of the United States, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities
Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of
1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these acts, or (ii) the laws of
the state in which you maintain your principal office and place of business or of any state in which you are applying
for registration, or amending your registration.
2. State-Registered Investment Adviser Affidavit
If you are subject to state regulation, by signing this Form ADV, you represent that, you are in compliance with the
registration requirements of the state in which you maintain your principal place of business and are in compliance
with the bonding, capital, and recordkeeping requirements of that state.
Signature
I, the undersigned, sign this Form ADV on behalf of, and with the authority of, the investment adviser. The
investment adviser and I both certify, under penalty of perjury under the laws of the United States of America, that
the information and statements made in this ADV, including exhibits and any other information submitted, are true
and correct, and that I am signing this Form ADV Execution Page as a free and voluntary act.
I certify that the adviser’s books and records will be preserved and available for inspection as required by law.
Finally, I authorize any person having custody or possession of these books and records to make them available to
federal and state regulatory representatives.
Signature:
__________________________
Date: ____________________
Printed Name: __________________________
Title:
____________________
Adviser CRD Number: ____________________

ADVERTISEMENT

00 votes

Related Articles

Related forms

Related Categories

Parent category: Legal
Go
Page of 4