---
title: "Collect facts for an investment-adviser registration application"
url: "https://ailawframework.com/practice/financial-services-regulation/draft-a-financial-services-or-credit-licence-application-narrative/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-T1-R1-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "red"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Collect facts for an investment-adviser registration application

> List the adviser's name, form of organisation, state of organisation, office addresses, and the names of partners, officers and directors the file shows, each with a page.…

Canonical page: https://ailawframework.com/practice/financial-services-regulation/draft-a-financial-services-or-credit-licence-application-narrative/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 | Red: Lawyer writes; AI may check, clarify or collect data |
| How AI is used | List the adviser's name, form of organisation, state of organisation, office addresses, and the names of partners, officers and directors the file shows, each with a page. Write no Form ADV narrative and no brochure sentence. |
| What the lawyer must review | 15 U.S.C. § 80b-3(a) makes it unlawful for an investment adviser, unless registered under that section or within an exception in subsection (b) or section 80b-3a, to use the mails or interstate commerce in connection with the advisory business. Subsection (c)(1) allows registration by an application that includes, among other things, the name and form of organisation, the state or sovereign under which the adviser is organised, the principal office and branch offices, and the names and addresses of partners, officers and directors. Investor.gov states that Form ADV is the uniform form used to register with the SEC and with state securities authorities. You decide which exception, if any, applies, and you write every answer that is filed. |
| Written for | United States |
| Applies to | [Draft a financial-services or credit-licence application narrative](https://ailawframework.com/practice/financial-services-regulation/draft-a-financial-services-or-credit-licence-application-narrative.md) |

## Checking plan

- What the AI does: List the adviser's name, form of organisation, state of organisation, office addresses, and the names of partners, officers and directors the file shows, each with a page. Write no Form ADV narrative and no brochure sentence.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The exceptions in § 80b-3(b) were not restated. Do not treat every adviser as required to register with the Commission.
- State registration was not opened. Form ADV is also the state form.

## Sources

- [15 U.S.C. § 80b-3, registration of investment advisers](https://www.law.cornell.edu/uscode/text/15/80b-3) (checked 2026-10-22)
- [Investor.gov, Form ADV](https://www.investor.gov/introduction-investing/investing-basics/glossary/form-adv) (checked 2026-10-22)

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