---
title: "List Form ADV Part 1 details that a change would touch"
url: "https://ailawframework.com/practice/financial-services-regulation/notify-the-regulator-of-changes-to-the-licence-details-within-the-deadli/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-X20261018-4-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "red"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# List Form ADV Part 1 details that a change would touch

> Put the detail in the current Part 1 beside the new detail in the change note, for business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/notify-the-regulator-of-changes-to-the-licence-details-within-the-deadli/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 | Put the detail in the current Part 1 beside the new detail in the change note, for business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment. |
| What the lawyer must review | Investor.gov states that Form ADV Part 1 covers business, ownership, clients, employees, business practices, affiliations, and disciplinary events in a check-the-box format. Section 80b-3(a) makes it unlawful, except as subsection (b) and section 80b-3a provide, for an unregistered investment adviser to use the mails or interstate commerce in the advisory business. No form-amendment deadline was opened, so none is stated. The lawyer prepares any amendment. The exceptions in subsection (b) were not applied. |
| Written for | United States |
| Applies to | [Notify the regulator of changes to the licence details within the deadline](https://ailawframework.com/practice/financial-services-regulation/notify-the-regulator-of-changes-to-the-licence-details-within-the-deadli.md) |

## Checking plan

- What the AI does: Put the detail in the current Part 1 beside the new detail in the change note, for business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- The tool writes nothing that is filed.
- Do not assume a state notice period. None was opened.

## Sources

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

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