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This document serves as an application for investment adviser registration, providing detailed information about the adviser, such as services offered, client types, investment strategies, and business
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How to fill out FORM ADV

01
Obtain the latest version of FORM ADV from the SEC's website.
02
Familiarize yourself with the different parts of the form: Part 1, Part 2A, and Part 2B.
03
Fill out Part 1 by providing information about your firm, including its structure, ownership, and services offered.
04
Complete Part 2A, which requires a narrative brochure explaining your services, fee structure, and investment strategies.
05
Prepare Part 2B, which is a brochure supplement for each supervised person providing relevant details about their education, experience, and credentials.
06
Review and ensure all sections are accurately filled out and up to date.
07
Submit FORM ADV electronically through the IARD system.

Who needs FORM ADV?

01
Investment advisers who are required to register with the SEC or state regulators.
02
Firms providing investment advice or financial planning services to clients.
03
Individuals looking to operate as investment advisers and manage client assets.
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adv. written abbreviation for adverb. SMART Vocabulary: related words and phrases.
Form ADV is a disclosure document that all investment advisers must submit to the U.S. Securities and Exchange Commission (SEC) and to state securities regulators. The SEC uses Form ADV to register investment advisers (registered investment advisers or RIAs) and obtain information about exempt reporting advisers (ERA).
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.

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FORM ADV is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulatory agencies. It contains information about the adviser's business, services offered, and fees.
Investment advisers who manage funds or provide investment advice for compensation and meet certain criteria, including those managing more than $25 million in assets or advising registered investment companies, are required to file FORM ADV.
FORM ADV is filled out by providing detailed information in Sections 1 and 2. Section 1 requires details about the adviser's business and ownership structure, while Section 2 requires a narrative brochure detailing services, fees, and conflicts of interest.
The purpose of FORM ADV is to provide regulators and the public with essential information about an investment adviser’s business practices, services, and any potential conflicts of interest.
FORM ADV requires reporting information such as the adviser's name, business address, ownership structure, services provided, fees charged, and any disciplinary history, among other disclosures.
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