Get the free FORM ADV PART 2A

This brochure provides information about the qualifications and business practices of Aequus Wealth Management, LLC. It details the types of services offered, fees and compensation, client types,

How to fill out form adv part 2a

How to fill out FORM ADV PART 2A

1. Gather all necessary information about your firm, including the business structure, ownership, and services offered.
2. Review the sections of FORM ADV PART 2A to understand what information is required in each section.
3. Start with Item 1: Identifying Information by filling in your firm's name, address, and contact information.
4. Move to Item 2: Services, detailing the types of advisory services you provide to clients.
5. Complete Item 3: Fees and Compensation, explaining how you charge clients (hourly, flat fees, or a percentage of assets).
6. Fill out Item 4: Disciplinary Information to disclose any legal or disciplinary actions against your firm or its employees.
7. Continue with Item 5: Other Financial Industry Activities and Affiliations, detailing any potential conflicts of interest.
8. Provide information for Item 6: Code of Ethics and Business Continuity Plan, outlining your firm's ethical standards and procedures in case of a disruption.
9. Review and edit all sections for accuracy and completeness before submitting the form.
10. File the completed FORM ADV PART 2A with the appropriate regulatory authority and provide a copy to clients upon request.

Who needs FORM ADV PART 2A?

1. Investment advisors who provide services to clients and are required to register with the SEC or state regulators.
2. Firms that manage client assets, provide financial planning services, or engage in investment advice.
3. Any advisor intending to establish a fiduciary relationship with clients must complete and provide FORM ADV PART 2A as part of their disclosure obligations.

People Also Ask about

What are the ADV part 2 disclosure requirements?

Form ADV Part 2 covers disclosure requirements for preparing your firm brochure. This brochure, which must be given to each client, includes information about your firm's business practices, the fees you charge, conflicts of interest, and past disciplinary actions.

How often does ADV Part 2B need to be updated?

SEC- and State-Registered Advisers: o Annual updating amendments: You must amend your Form ADV each year by filing an annual updating amendment within 90 days after the end of your fiscal year.

What is the difference between ADV part 1 and ADV part 2?

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

What are the obligations of ADV Part 2?

Form ADV Part 2 covers disclosure requirements for preparing your firm brochure. This brochure, which must be given to each client, includes information about your firm's business practices, the fees you charge, conflicts of interest, and past disciplinary actions.

What is part 2A of form adv?

Part 2A of Form ADV: Firm Brochure A. The cover page of your brochure must state your name, business address, contact information, website address (if you have one), and the date of the brochure.

How to file ADV part 2?

For purposes of the IARD system, Part 2 of the Form ADV is referred to as the "Brochure." The brochure is uploaded as an attachment to Form ADV during the form filing submission process. The brochure must be converted to a text-searchable, PDF file before submission to the IARD system.

What is the purpose of ADV parts 2A and 2b?

This section is divided into two different sections. Part 2A is the brochure's cover page, which has the identifying information, while Part 2b is the supplement. Details must be written concisely in simple English that can be easily understood.

What are the disclosure requirements for financial advisors?

What Are RIAs Required to Disclose? Types of advisory services offered. Schedule of the fees associated with those services and whether those fees are negotiable. Other sources of compensation received beyond service fees. Professional affiliations with another advisor or broker-dealer, or a securities issuer.

For pdfFiller’s FAQs

What is FORM ADV PART 2A?

FORM ADV PART 2A is a regulatory document used by investment advisers to provide clients with a narrative description of the adviser’s business practices, fees, and conflicts of interest.

Who is required to file FORM ADV PART 2A?

All registered investment advisers, including those managing assets under the Investment Advisers Act of 1940, are required to file FORM ADV PART 2A.

How to fill out FORM ADV PART 2A?

FORM ADV PART 2A must be filled out by providing accurate details about the advisory firm, its services, fees, conflicts of interest, and investment strategies. Advisers must ensure that the language is clear and understandable for clients.

What is the purpose of FORM ADV PART 2A?

The purpose of FORM ADV PART 2A is to ensure transparency in the advisory relationship by providing potential and existing clients with essential information about the adviser’s practices and potential conflicts.

What information must be reported on FORM ADV PART 2A?

FORM ADV PART 2A must report information such as the adviser's services, fees and compensation, disciplinary history, conflicts of interest, and the adviser’s approach to investment strategies and risk.