---
title: "Compare a representative register with Form ADV Part 1 topics"
url: "https://ailawframework.com/practice/financial-services-regulation/build-an-authorised-representative-or-appointed-rep-register-issues-list/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-A20260923-4-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Compare a representative register with Form ADV Part 1 topics

> List each person on the register and whether Part 1 of the Form ADV in the file has an entry for business, ownership, clients, employees, affiliations, or disciplinary events that names that person.…

Canonical page: https://ailawframework.com/practice/financial-services-regulation/build-an-authorised-representative-or-appointed-rep-register-issues-list/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | List each person on the register and whether Part 1 of the Form ADV in the file has an entry for business, ownership, clients, employees, affiliations, or disciplinary events that names that person. Write no form amendment. |
| What the lawyer must review | Investor.gov states that Form ADV Part 1 asks for the adviser's business, ownership, clients, employees, business practices, affiliations, and disciplinary events of the adviser or its employees, in a check-the-box, fill-in-the-blank format. The tool compares the register with those topics. It does not decide who must register. State investment-adviser-representative registration was not opened, so it is not applied. |
| Written for | United States |
| Applies to | [Build an authorised-representative or appointed-rep register issues list](https://ailawframework.com/practice/financial-services-regulation/build-an-authorised-representative-or-appointed-rep-register-issues-list.md) |

## Checking plan

- What the AI does: List each person on the register and whether Part 1 of the Form ADV in the file has an entry for business, ownership, clients, employees, affiliations, or disciplinary events that names that person. Write no form amendment.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- Part 1 is not a state license. Do not invent a state list.
- Do not put disciplinary narratives into a public tool.

## Sources

- [Investor.gov, Form ADV](https://www.investor.gov/introduction-investing/investing-basics/glossary/form-adv) (checked 2026-10-22)
- [ABA Formal Opinion 512, Generative Artificial Intelligence Tools (29 July 2024)](https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/ethics-opinions/aba-formal-opinion-512.pdf) (checked 2026-10-22)
- [ABA Model Rule 1.6, Confidentiality of Information](https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/rule_1_6_confidentiality_of_information/) (checked 2026-10-22)

## Forms and precedents for this task

| Form or precedent | Kind | AI level | Summary |
| --- | --- | --- | --- |
| [Authorised representative agreement and written authorisation (AFS licensee)](https://ailawframework.com/precedents/financial-services-regulation/authorised-representative-agreement.md) | Agreement | Yellow | An agreement between an Australian financial services licensee and an authorised representative, with the s 916A written authorisation as a schedule: authorised services within the licence, conduct… |

Signed-in accounts can read the full text of each one.

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*