Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV

Filter comments

Date Received
Date Letter Type Release Number Commenter Name
Public Comment IA-2711 William Cavell, Vice President, NRS Compliance Institute
Public Comment IA-2711 William G. Mulligan, Chair and Member of the Board of Managers, Alternative Investments Compliance Association
Public Comment IA-2711 Cynthia M. Clarke, General Counsel, Wellington Management Company, LLP
Public Comment IA-2711 James M. Meyer, Chief Compliance Officer, Tower Bridge Advisors
Public Comment IA-2711 Margaret L. Leonard, CCO, Moody Aldrich Partners, LLC, Marblehead, Massachusetts
Public Comment IA-2711 Frank C. Dealy, Chief Operating Officer, Executive Advisors, Inc.
Public Comment IA-2711 Kent Knudson, Poolesville, Maryland
Public Comment IA-2711 Larry L. Laws, President, Larry Laws and Associates, Inc., Center Point, Texas
Public Comment IA-2711 Mari-Anne Pisarri, Pickard and Djinis LLP
Public Comment IA-2711 Therese M. Pantalione, IACCPsm, V.P., Compliance Officer, Cumberland Advisors
Public Comment IA-2711 Judy T. Boyles, MNM Paragon Financial Group
Public Comment IA-2711 Rita G. Dew, President, National Compliance Services, Inc., Delray Beach, Florida
Public Comment IA-2711 Russ Kyncl, CLU, ChFC, Strategic Exit LLC
Public Comment IA-2711 Gary D. Case, CFP, Cornerstone Financial Planning
Public Comment IA-2711 Ken Thompson, Financial Advisor - Branch Manager, Raymond James Financial Services
Public Comment IA-2711 Laurence E. Menna, Financial Planner, RJFS, President, MCM
Public Comment IA-2711 R. Christopher Verbeck
Public Comment IA-2711 Robert Chamberlain, CFP, Raymond James Financial Services, Inc.
Public Comment IA-2711 William H. McCance, President, Trust Advisory Group, Ltd.
Public Comment IA-2711 L. A. Schnase
Public Comment IA-2711 Shaun Eddy, Strategic Wealth Management Group, LLC, Columbia, Maryland
Public Comment IA-2711 William A Jacobson, Associate Clinical Professor, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York
Public Comment IA-2711 Katie M. Habegger, CFP, Chief Compliance Officer, Clifford Swan Investment Counsel, Pasadena, California
Public Comment IA-2711 Warren J. Mackensen, CFP, Mackensen Company, Inc., Hampton, New Hampshire
Public Comment IA-2711 David H. Barton, President and General Counsel and Jennifer B. Pfleging, Compliance Officer, Mercer Advisors
Public Comment IA-2711 Terrance O'Malley, Fried, Frank, Harris, Shriver & Jacobson LLP
Public Comment IA-2711 Michael Berlin, CCO, Private Asset Management, Inc.
Public Comment IA-2711 Eric A. Brill, Esq., Attorney, San Francisco, California
Public Comment IA-2711 Bill George, Blue Sky Research Services, Encino, California
Public Comment IA-2711 Adrian Day, Chairman & CEO, Adrian Day Asset Management

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-10-00
Release Number
IA-2711
IA-1862
How to submit comments