What Filing Type Do You Choose?

Apply for initial registration with the SEC if:

1. You are not registered with the SEC and are filing your first application to do so.

Apply for initial registration in one or more states if:

1. You are not registered with any state(s) and are filing your first application(s) to do so.

Submit an Annual Amendment if:

1. You are an existing SEC or state registrant, have already filed your electronic Form ADV, and are now filing your Annual Amendment.

Submit an Other-Than Annual Amendment if:

1. You are a state registrant and are making your first electronic Form ADV filing;

2. You are registered with the SEC, or states, and are amending your existing electronic Form ADV;

3. You are SEC registered and wish to make a Notice Filing with a new state;

4. You are state registered and wish to seek registration in an additional state; or

5. You have an application pending with the SEC or states to become registered and are amending a previously filed Form ADV.

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