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Sender Capital Management, Inc. Form ADV, Part II Disclosure Document February 2009 FORM ADV Uniform Application for Investment Adviser Registration Part II Page 1 Name of Investment Adviser: OMB
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How to fill out form adv part ii
How to fill out Form ADV Part II:
01
Start by providing general information about your firm, such as its name, address, and contact details.
02
Include information about your firm's ownership, including details about any parent or affiliated companies.
03
Disclose any disciplinary history or legal actions involving your firm or its employees.
04
Outline your firm's services, including the types of investments you offer and any specific investment strategies used.
05
Provide information about your firm's fees and compensation structure, including how clients are billed and any potential conflicts of interest.
06
Describe any additional business activities your firm engages in, such as selling insurance or providing financial planning services.
07
Provide information about key personnel at your firm, including their qualifications and experience.
08
Discuss any potential risks or conflicts of interest that clients should be aware of.
09
Complete the form by signing and dating it.
10
Submit the completed Form ADV Part II to the appropriate regulatory authority.
Who needs Form ADV Part II:
01
Registered investment advisers (RIAs) in the United States are required to file Form ADV Part II.
02
RIAs who manage a certain amount of assets or provide certain types of advice may be required by state or federal regulations to complete this form.
03
The form is used to provide detailed information about the firm, its services, fees, and potential conflicts of interest to clients and regulatory authorities.
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What is form adv part ii?
Form ADV Part II is a disclosure document that provides information about an investment adviser's business practices, conflicts of interest, and disciplinary history.
Who is required to file form adv part ii?
All registered investment advisers (RIAs) who manage $25 million or more in assets or who provide investment advice to registered investment companies are required to file Form ADV Part II with the Securities and Exchange Commission (SEC).
How to fill out form adv part ii?
To fill out Form ADV Part II, an investment adviser needs to provide information about its business, investment strategies, fees, conflicts of interest, disciplinary history, and other relevant details. The form must be completed accurately and submitted electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part ii?
The purpose of Form ADV Part II is to enhance transparency and provide clients with important information about an investment adviser's business practices, conflicts of interest, and disciplinary history, enabling them to make informed investment decisions.
What information must be reported on form adv part ii?
Form ADV Part II requires investment advisers to report information such as their business practices, investment strategies, fee structure, any conflicts of interest, disciplinary history, and other material information that would be relevant to clients.
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