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Investment Adviser Forms All forms, instructions, and affidavits are in .PDF format. If you don't have Acrobat Reader, please visit http://www.adobe.com to download your free copy. No Investment Adviser Activity Affidavit - Document required to be filed in connection with an investment adviser license application IARD Entitlement Packet - Instructions on how to become entitled to file forms electronically on the IARD system Form ADV - Includes Form ADV Parts I and II, related forms and schedules, and instructions for electronic filing of Form ADV Part II. Form U-10 and Instructions – Uniform examination request form for Non-NASD Candidates and instructions for submitting form Form U-4 Instructions – Form U-4 instructions to license as an investment adviser representative Form U-5 Instructions – Form U-5 instructions to terminate a licensed investment adviser representative
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