---
title: "Map the adviser's activities onto Form ADV Part 1 fields"
url: "https://ailawframework.com/practice/financial-services-regulation/map-the-client-s-activities-to-the-authorisations-on-its-licence/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-X20260927-1-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Map the adviser's activities onto Form ADV Part 1 fields

> Extract from the adviser's own description its client types, services, affiliations and disciplinary events the papers mention, with a page for each. Do not tick a Form ADV box and do not say an activity is authorised.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/map-the-client-s-activities-to-the-authorisations-on-its-licence/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 | Extract from the adviser's own description its client types, services, affiliations and disciplinary events the papers mention, with a page for each. Do not tick a Form ADV box and do not say an activity is authorised. |
| 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 format, and that the SEC uses it for regulatory and examination programs. Part 1 is not a licence schedule of Australian authorisations. You decide which box the fact belongs in. 15 U.S.C. § 80b-3 is the registration statute, including the exceptions in subsection (b), which you apply. |
| Written for | United States |
| Applies to | [Map the client's activities to the authorisations on its licence](https://ailawframework.com/practice/financial-services-regulation/map-the-client-s-activities-to-the-authorisations-on-its-licence.md) |

## Checking plan

- What the AI does: Extract from the adviser's own description its client types, services, affiliations and disciplinary events the papers mention, with a page for each. Do not tick a Form ADV box and do not say an activity is authorised.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- A broker-dealer activity is not an investment-adviser activity merely because it appears on the same page.
- The table is not an amendment. You file any change.

## 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)

## 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.*