---
title: "Compare the adviser's file with the public Form ADV record"
url: "https://ailawframework.com/practice/financial-services-regulation/keep-the-financial-advisers-register-entries-current/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-X20261018-5-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Compare the adviser's file with the public Form ADV record

> Set side by side the name, address, services and disciplinary events in the working file and in a print from the public record, and mark each difference with both sources. Do not prepare an amendment.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/keep-the-financial-advisers-register-entries-current/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 | Set side by side the name, address, services and disciplinary events in the working file and in a print from the public record, and mark each difference with both sources. Do not prepare an amendment. |
| What the lawyer must review | Investor.gov states that both parts of Form ADV are available to the public on the SEC's Investment Adviser Public Disclosure website. A difference is a prompt to you, not a filing. The statute at 15 U.S.C. § 80b-3 requires the application to contain prescribed information. No annual-updating deadline was opened, so the tool does not calculate one. You decide whether an amendment is required and you write it. |
| Written for | United States |
| Applies to | [Keep the financial advisers register entries current](https://ailawframework.com/practice/financial-services-regulation/keep-the-financial-advisers-register-entries-current.md) |

## Checking plan

- What the AI does: Set side by side the name, address, services and disciplinary events in the working file and in a print from the public record, and mark each difference with both sources. Do not prepare an amendment.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The public website was described on the Investor.gov Form ADV page. The website itself was not opened as a separate source.
- Do not invent a number of days for an updating amendment.

## Sources

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