SEC Form ADV filing software for accurate, compliant ADV reports
Simplify SEC Form ADV report and filings with integrated data management, validations and workflows that ensure accurate disclosures, efficient reviews and regulator-ready submissions.
AQMetrics helps investment advisers manage their Form ADV reports through a single, controlled platform that centralises data, guides preparation and automates validations. By replacing manual spreadsheets and fragmented processes with structured workflows and governance controls, firms can prepare accurate ADV filings efficiently while maintaining full auditability.
Core capabilities of our US SEC Form ADV filing solution
Integrated data management and roll-forwards
Automatically pull data from source systems and prior filings, rolling information forward each period to minimise re-entry and maintain consistency.
Outcome: less manual effort and fewer data errors.
Structured workflows and governance controls
Role-based access, task assignment, approvals and section locking guide preparation and ensure clear ownership across teams.
Outcome: stronger operational control and accountability.
Built-in regulatory validations and guidance
Embedded checks flag missing or inconsistent data and provide contextual regulatory guidance to help users complete filings correctly the first time.
Outcome: reduced rework and fewer submission issues.
Centralised oversight and reporting visibility
Dashboards track completion status, progress and regulatory thresholds across filings, giving compliance teams a clear, real-time view of reporting readiness.
Outcome: faster reviews and better management oversight.
How it works
Collect and pre-populate data
Data is automatically sourced from internal systems or prior filings and populated into the Form ADV report structure.
Validate and review
Built-in checks highlight issues while workflows guide teams through preparation, comments and approvals.
Finalise and file
Reports are completed, locked and exported as regulator-ready outputs for submission, with full audit logs supporting oversight.
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What our clients have to say
“We have been impressed with AQMetrics’ focus and commitment to regulatory reporting and are excited to partner with their team to enhance our services.”
Tyler Kim
Global Head of Fund Services
Maples Group
WHY AQMETRICS?
Why firms partner with AQMetrics for your Form ADV report
Investment advisers partner with AQMetrics to replace manual, spreadsheet-driven Form ADV report preparation with a structured, automated process.
Our platform:
centralises data
embeds regulatory checks and
provides clear workflows
to improve accuracy, strengthen governance and reduce the operational burden of ongoing filings.
Key benefits of our Form ADV report solution
- Reduced compliance risk: built-in validations help ensure complete, accurate and regulator-ready filings.
- Lower operational effort: automated roll-forwards and pre-populated data reduce repetitive manual work.
- Clear ownership and accountability: structured workflows and approvals define responsibilities across teams.
- Improved data integrity: centralised controls minimise inconsistencies and re-keying errors.
- Audit-ready processes: full audit trails support governance and regulatory
Our Form ADV filing solution is ideal for
- SEC-registered investment advisers
- Compliance and operations teams responsible for ADV filings
- Firms managing frequent amendments or updates
- Organisations transitioning from spreadsheets or manual processes
- Firms seeking stronger governance and audit controls around disclosures
FREQUENTLY ASKED QUESTIONS
AQMetrics' platform automates and streamlines Form ADV reporting by centralising data, guiding preparation, and automating validations to ensure accurate, regulator-ready filings with full auditability.
The platform embeds regulatory checks, flags missing or inconsistent data and provides contextual guidance, reducing errors and rework during the filing process.
Features include role-based access, task assignment, approvals, section locking, dashboards for tracking progress, and automatic data sourcing from internal systems or prior filings.
Form ADV is a regulatory filing required by the SEC for investment advisers, providing transparency about their business, ownership, and services, and ensuring compliance with regulatory standards.
Automation reduces manual effort, minimises data errors, accelerates review processes, and ensures consistent, regulator-ready submissions, improving overall compliance and operational efficiency.
Manual preparation can lead to errors, inconsistencies, time-consuming processes, difficulty tracking progress, and increased risk of non-compliance due to fragmented workflows.
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