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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: FutureAdvisor, INC. CRD Number: 154604 OtherThanAnnual Amendment All

How to fill out sec form adv

How to fill out SEC Form ADV:

1. Begin by gathering the necessary information: Before starting the form, it's important to have all the required information at hand. This includes details about the investment adviser such as the firm's name, address, phone number, and website.
2. Understand the sections of the form: SEC Form ADV is divided into several sections, each requiring specific information. It's essential to familiarize yourself with these sections to ensure you provide accurate and complete data.
3. Provide information about the investment adviser: The first section of the form typically asks for details about the investment adviser, such as its organizational structure, ownership information, and any other relevant background.
4. Disclose the types of clients and services: In this section, you'll need to provide information about the types of clients you serve and the services you offer. This includes details about any specific investment strategies, minimum account requirements, and the approximate percentage of your client base for each type of client.
5. Disclose your fees and compensation: This section requires you to disclose your fee schedule and how you are compensated, including any performance-based fees. You may also need to disclose any potential conflicts of interest related to fees and compensation arrangements.
6. Provide details about custody arrangements: If you have custody of client assets or if you use a qualified custodian, this section requires you to disclose the relevant details. It's important to accurately describe how client assets are held and managed.
7. Answer additional questions and disclosures: SEC Form ADV includes a series of specific questions that need to be answered. These questions cover various topics, such as your code of ethics, disciplinary history, and affiliations with other financial professionals.
8. Review and submit the form: After completing all sections of the form, carefully review the information provided to ensure accuracy and completeness. Once you are satisfied, you can electronically submit the form to the SEC through its online filing system.

Who needs SEC Form ADV:

1. Registered investment advisers: SEC Form ADV is primarily required for investment advisers who are registered with the Securities and Exchange Commission (SEC). It serves as a disclosure document that provides important information about the firm, its services, fees, and potential conflicts of interest to clients and regulatory authorities.
2. Some state-registered investment advisers: Certain states also require investment advisers to file a Form ADV with their respective state securities regulators. The requirements may vary by state, so it's crucial to check the specific regulations of the state(s) where you operate.
3. Some exempt reporting advisers: While exempt reporting advisers (ERAs) have reduced reporting obligations compared to fully registered investment advisers, they may still be required to submit a simplified version of SEC Form ADV to provide basic information about their advisory business.

Remember, it's always advisable to consult with legal and compliance professionals to ensure compliance with the applicable regulations and requirements when filling out SEC Form ADV.

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What is sec form adv?

SEC Form ADV is a form filed with the Securities and Exchange Commission (SEC) by investment advisors who manage more than $25 million in assets.

Who is required to file sec form adv?

Investment advisors who manage more than $25 million in assets are required to file SEC Form ADV.

How to fill out sec form adv?

SEC Form ADV can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of sec form adv?

The purpose of SEC Form ADV is to provide information to the SEC and clients about an investment advisor's business practices, services offered, fees charged, and any conflicts of interest.

What information must be reported on sec form adv?

SEC Form ADV requires investment advisors to disclose information about their business practices, ownership, clients, fees, conflicts of interest, and disciplinary history.