Information and Tips

2012 Webinar - Preparing Newly Revised Form ADV, Part 1: Practical Information and Tips

Preparing Newly Revised Form ADV, Part 1: Practical Information and Tips
Thursday, February 2, 2012, 1:00 pm - 2:15 pm EST

The SEC’s newly revised Form ADV, Part 1 requires advisers to respond to new questions about the private funds they manage as well as other aspects of their business, and will require many advisers to revise how they calculate their assets under management. Advisers to private funds, including hedge funds, private equity funds and most other types of unregistered funds, are required provide information about the funds’ strategies, structures, service providers and marketers. All advisers are required to provide more information about their businesses, including affiliations and custody arrangements, and file an amended Form ADV Part 1 with this new information by March 30, 2012, regardless of their fiscal year end.

The webinar will include a detailed analysis of major provisions of the new requirements and will offer practical tips and guidance for complying with the new requirements. This is your opportunity to pose your questions to the experts before you file Part 1 with the SEC.

IAA members may contact the IAA legal staff and/or visit the Form ADV section of the Members Only area if you have questions or need additional information regarding this important new rule.


David A. Vaughan is a partner at Dechert LLP. He focuses his practice on investment management, primarily private funds. Previously, he was the senior private fund policy adviser in the U.S. Securities and Exchange Commission’s Division of Investment Management in Washington, D.C. In that capacity, he advised on all aspects of legal and regulatory policy related to private funds. During that period, he played a leading role in advising on Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the rules implementing those provisions, the Volcker Rule, and the European Union Alternative Investment Fund Managers Directive. He received his B.A., cum laude from Bowling Green State University, and his J.D., cum laude, from Georgetown University Law Center.

Daniel S. Kahl is the Assistant Director in charge of the Office of Investment Adviser Regulation in the Division of Investment Management at the SEC. The Office of Investment Adviser Regulation is responsible for the development of policy, rulemaking and exemptive matters under the Investment Advisers Act of 1940. Prior to joining the Commission in 2001, Dan worked for the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University.

Valerie M. Baruch is Associate General Counsel of the Investment Adviser Association (IAA). Ms. Baruch joined the IAA in July 2006. From 1991 to 2006, Ms. Baruch was in private practice primarily representing investment companies and investment advisers with respect to regulatory and compliance matters. She practiced law at the Washington, DC office of Kirkpatrick & Lockhart (now K&L Gates) from 1991 to 2001, and at the Law Offices of Stephanie A. Djinis in McLean, Virginia from 2001 to 2006. She is a member of the District of Columbia Bar. She received her B.A., cum laude, from Colgate University, and she received her law degree from the University of Pennsylvania Law School.


Registration for this event closed. To purchase a recording of this webinar, please complete and return a webinar recording payment form. If you have any questions, please visit the Registration FAQs page or contact the IAA events team at or (202) 293-4222