System Requirements

• The Form ADV Part 2 Template is a Word document. You must have Microsoft Word to customize the Form ADV Part 2 to your firm's business practices.
• You must be able to create a searchable PDF file of the result to upload to the SEC or state regulatory site.

Download and Installation

• Your Form ADV Part 2 Template is available for download from a link within the confirmation email that you received after purchase.
• Double-click on the link to begin the download. Answer Yes or Run to all questions.
• The download may be blocked on your system because it is an executable file. Right-click to select Properties and select Unblock.
• You may need to right-click and select Run as Administrator in order to have the permissions necessary to install the ADV.
• If you are using a MAC: Contact us at support@protracker.com for special instructions.

Editing the Template

• You must have Microsoft Word to customize the Form ADV Part 2 to your firm's details.
• Edit each section to customize it to your firm's business practices. Be careful not to change the text or style of the section headers. These headers are used to create the Table of Contents, which is a required component part of the document.
• Words in all capital letters are designed to be replaced using your own data, e.g., “FIRMNAME” becomes “My Firm, LLC” .
• Words in all capital letters and italicized, e.g., “NEGOTIABLE / NOT NEGOTIABLE,” indicate that a decision specific to your firm’s business model must be made, i.e., whether or not your firm’s fees are negotiable.
• You need to perform several “Search and Replace” actions in Microsoft Word. For example, to insert your company name throughout the Template, press CTRL+H. Click on the Replace tab. In the “Find what” field, enter FIRMNAME. In the “Replace with” field, enter your company name as it should appear in the document. To allow the correct formatting of your company name as entered, select “Match Case” under the more>> button on the Replace dialog box.
• Copy and paste information from your current Form ADV, Part II, into the Template in the appropriate places. Note: the old “Part II” is now called “Part 2.”
• If a section does not apply to your firm, do not delete it; instead, leave the headers and annotate that this section does not apply to your firm. The ADV Template follows the SEC Item Numbers as specified in the SEC's Appendix C to the Final Rule. The Template uses Microsoft Word "sections" to facilitate the implementation of the Items as directed by the SEC.
• While we followed the exact order of the SEC Item Numbers, we did not include them in the document. This is fine for most regulatory boards, including the SEC. However, the state of California expects to see the Item Numbers. You must add them in manually as shown here:
  • Item 1 Cover Page
  • Item 2 Material Changes
  • Item 3 Table of Contents
  • Item 4 Advisory Business

Update the Table of Contents

• When you are finished editing the body of the document, update the Table of Contents. Click into the Table of Contents until it becomes grayed out and press the F9 key. The Table of Contents page numbers will be updated automatically.
• If F9 does not work for you, try these alternatives:
  • Right-click and select Update Field > Update Entire Table.
  • In Microsoft Word or Word for Mac 2004: go to  Insert > Reference > Index and Tables. Click on the Table of Contents tab and press Show Outlining Toolbar. The Outlining Toolbar should appear. Click on the Update TOC button.
  • In Word for Mac 2011: hold down the control key and click Update Field.
• Review your Table of Contents. Does it contain an entry for each section of the document? If not, go back into the body of the document and select the text of any headers that are missing from the Table of Contents. Change the Style of the text to be Heading 1 or Heading 2, as appropriate.

Create a Searchable PDF File

• If you use Word 2010 or 2007: First go to File > Save and save all of your editing. Then go to File > Save As and select PDF.
• If you use Word 2003: First go to File > Save and save all of your editing. Then go to File > Print and select the PDF printer. You will be prompted for a file name and path for the resulting file. Remember this; you will need it when you file your ADV Part 2. You must have a PDF printer already installed on your computer. There are many free products available, such as CutePDF and PrimoPDF. (Customers of our ProTracker Advantage product have one available. See Tools > Options. Click on Install ProTrackerPDF.

File your ADV Part 2

• Upload your ADV Part 2 in PDF format to the IARD or other regulatory website.