Get the free Form ADV Part 2A – Disclosure Brochure

This Brochure provides information about the qualifications and business practices of LONDON CO. OF VIRGINIA, including its investment advisory services, fees, and ethical standards.

How to fill out form adv part 2a

How to fill out Form ADV Part 2A – Disclosure Brochure

1. Gather your business information, including investment strategies, fees, and services offered.
2. Use the provided template or format required by the SEC for Form ADV Part 2A.
3. Start with a clear introduction that includes your firm’s name, location, and contact information.
4. Detail the firm’s services, including a description of advisory services, types of clients served, and any limitations on services.
5. Include information on fees and compensation, including how you are compensated, any fees clients may incur, and your refund policy.
6. Explain any conflicts of interest and how they are managed.
7. Provide information about the firm's disciplinary history and that of key individuals.
8. Outline other financial industry affiliations or relationships that could pose conflicts.
9. Include a section on the firm's business continuity plan and how they manage risks.
10. Review the entire document for accuracy and compliance before distributing it to clients.

Who needs Form ADV Part 2A – Disclosure Brochure?

1. Registered investment advisors (RIAs) must prepare and distribute Form ADV Part 2A to prospective and current clients.
2. Firms that manage client assets or offer investment advice must provide this disclosure brochure.
3. Any individual or entity seeking to hire an investment advisor should request and review this document to understand the advisor's practices, fees, and potential conflicts of interest.

People Also Ask about

What is an ADV part 2A brochure?

The ADV Part 2A contains eighteen (18) disclosure items, each to be included in the investment adviser's Brochure. Each disclosure item is to receive a narrative, plain English response.

What is the rule 206 for investment advisors?

Rule 206(4)-4 under the Advisers Act requires all advisers to disclose certain material financial and disciplinary information to their clients, such as a financial condition of the adviser that is reasonably likely to impair the adviser's ability to meet its contractual commitments to clients, or any legal or

What is the brochure rule for investment advisors?

The brochure rule is a requirement under the Investment Advisers Act of 1940 that requires investment advisors to provide a written disclosure statement to their clients.

What is the fiduciary rule of investment advisors?

It outlines when investment advice providers are acting in a fiduciary role and therefore must follow strict rules of conduct. Generally, fiduciary advice providers must: give advice that is prudent and loyal. avoid misleading statements about conflicts of interest, fees, and investments.

What is the brochure rule under the Investment Advisers Act?

If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [17 CFR 279.1].

Are you required to provide an ADV 2B brochure to clients?

You must deliver the supplement for a supervised person before or at the time that supervised person begins to provide advisory services to a client. You also must deliver to clients any update to the supplement that amends information in response to Item 3 of Part 2B (disciplinary information).

When must delivery of the form ADV part 2A brochure occur?

Each year you must (i) deliver, within 120 days of the end of your fiscal year, to each client a free updated brochure that either includes a summary of material changes or is accompanied by a summary of material changes, or (ii) deliver to each client a summary of material changes that includes an offer to provide a

Are you required to provide an ADV 2B brochure to clients?

You must deliver the supplement for a supervised person before or at the time that supervised person begins to provide advisory services to a client. You also must deliver to clients any update to the supplement that amends information in response to Item 3 of Part 2B (disciplinary information).

For pdfFiller’s FAQs

What is Form ADV Part 2A – Disclosure Brochure?

Form ADV Part 2A – Disclosure Brochure is a document that provides essential information about an investment advisor's business practices, fees, services, and potential conflicts of interest. It is meant to help clients make informed decisions about hiring an investment advisor.

Who is required to file Form ADV Part 2A – Disclosure Brochure?

All registered investment advisors are required to file Form ADV Part 2A with the SEC or state regulatory authorities. This includes both firms that manage assets on behalf of clients and those that provide financial planning services.

How to fill out Form ADV Part 2A – Disclosure Brochure?

To fill out Form ADV Part 2A, advisors need to provide detailed information including their services, fee structures, fees charged, disciplinary history, and any conflicts of interest. Advisors must ensure that the information is clear and accurate for client understanding.

What is the purpose of Form ADV Part 2A – Disclosure Brochure?

The purpose of Form ADV Part 2A is to disclose crucial information about an advisor's business practices and financial condition, thus ensuring transparency and helping clients evaluate potential investment advisors.

What information must be reported on Form ADV Part 2A – Disclosure Brochure?

Form ADV Part 2A must report information including the advisor's business model, types of services offered, fee structures, performance data, conflicts of interest, and other disclosures that may impact clients' decisions.