Form ADV-E definition
Form ADV-E means the Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser.
Examples of Form ADV-E in a sentence
Obtain from the SEC’s website, if applicable, a copy of the Form ADV-E and the accompanying accountants' report.
If Form ADV-E indicates that the Investment Manager changed accounting firms, note the reason for the change.
Also, investment advisors must note on Form ADV-E any changes in accounting firms and the reasons for such changes.
Investment advisors subject to annual surprise examinations are required to file Form ADV-E.