Get the free EWM Form ADV Part 2 Brochures - Endowment Wealth Management

Em 1 Cover Page Endowment Wealth Management, Inc. 2200 North Richmond Street, Suite 200 Appleton, Wisconsin 54911 Phone: 9207856010 Fax: 9202270521 http://www.EndowmentWM.com July 21, 2015, FORM ADV

How to fill out ewm form adv part

How to fill out the EWM form ADV Part:

1. Start by gathering all the necessary information. You will need to provide details about your firm, such as its legal name, address, and contact information. Additionally, you will need to gather information about your employees, including their names, roles, and any disciplinary history.
2. Review the form instructions thoroughly. The EWM form ADV Part comes with detailed instructions that explain how to fill out each section. Make sure to read and understand these instructions before starting to fill out the form.
3. Begin filling out the form. Start by providing the required information in Section 1, which includes details about your firm's registration status and any previous regulatory actions you may have faced.
4. Move on to Section 2, where you will need to provide information about your firm's ownership structure. This section requires details about any individuals or entities that have a significant ownership interest in your firm.
5. Fill out Section 3, which focuses on your firm's disciplinary history. You will be required to disclose any legal or regulatory actions taken against your firm or any of its employees in the past.
6. In Section 4, you will need to provide information about your firm's advisory business. This includes details about the types of services you offer, the assets you manage, and any affiliations or partnerships your firm may have.
7. Complete any additional sections as required. Depending on the specifics of your firm's advisory business, you may need to fill out additional sections of the form.

Who needs EWM form ADV Part:

1. Investment advisors: The EWM form ADV Part is primarily used by investment advisors who are registered with the Securities and Exchange Commission (SEC) or state securities authorities. It is a regulatory requirement for these firms to complete and file this form.
2. SEC-registered firms: Investment advisory firms that are registered with the SEC and have assets under management (AUM) above a certain threshold are required to submit the EWM form ADV Part. This form helps the SEC monitor and regulate the activities of these firms.
3. State-registered firms: Even if an investment advisory firm is not registered with the SEC, they may still need to complete and file the EWM form ADV Part with their respective state securities authorities. Each state has its own registration requirements, and filing this form is often a part of the process.

In conclusion, filling out the EWM form ADV Part requires careful attention to detail and adherence to the provided instructions. It is a necessary requirement for investment advisors registered with the SEC or state securities authorities. Compliance with this form is crucial for maintaining regulatory compliance and ensuring transparency in the advisory industry.

For pdfFiller’s FAQs

What is ewm form adv part?

EWM Form ADV Part is a reporting form filed by exempt reporting advisers with the Securities and Exchange Commission (SEC).

Who is required to file ewm form adv part?

Exempt reporting advisers are required to file EWM Form ADV Part.

How to fill out ewm form adv part?

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

What is the purpose of ewm form adv part?

The purpose of EWM Form ADV Part is to provide the SEC and clients with information about the exempt reporting adviser.

What information must be reported on ewm form adv part?

EWM Form ADV Part requires information such as background of the adviser, services offered, fees, conflicts of interest, and disciplinary history.

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