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FORM ADV PART 2A November 20, 2014, Ziegler Capital Management, LLC 70 West Madison Street, Suite 2400 Chicago, IL 60602 Phone (312) 3681442 Fax (312) 7501131 www.zieglercap.com This Brochure provides

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by carefully reading through the instructions provided by the Securities and Exchange Commission (SEC) on how to fill out Form ADV Part 2A. This will provide you with a comprehensive understanding of the form requirements.
2. Begin by entering the basic information about your firm, such as its name, address, and contact details. Ensure that all the information provided is accurate and up to date.
3. Move on to Section 1 of the form, which requires you to provide information about your firm's business. Here, you will need to specify the types of advisory services you offer, your target clientele, and any other relevant details about your business operations.
4. Proceed to Section 2, where you will provide information about your firm's ownership and control. This includes details about your ownership structure, the names and titles of key individuals within your firm, and any ownership changes that have occurred in the past year.
5. Section 3 focuses on your firm's disciplinary history. You will need to disclose any legal or disciplinary events involving your firm or its key personnel, such as regulatory proceedings, civil actions, or criminal convictions. It is important to provide accurate information and be transparent about any past incidents.
6. In Section 4, you will disclose any financial conditions that might be relevant for clients to consider. This includes information about your fee structure, the amount of assets you manage, and any financial obligations or conflicts of interest that could impact your clients.
7. Finally, review the completed Form ADV Part 2A thoroughly to ensure accuracy and completeness. Make sure all the necessary attachments and schedules are included, and that the form is signed and dated appropriately.
8. File the completed Form ADV Part 2A electronically through the Investment Adviser Registration Depository (IARD) system, as required by the SEC.

Who needs Form ADV Part 2A:

1. Investment advisers registered with the SEC are required to file Form ADV Part 2A. This includes both newly registered advisers and existing advisers who are updating their registration information.
2. The form is necessary for providing important information about the adviser's business, services, fees, and conflicts of interest to current and potential clients.
3. Form ADV Part 2A helps clients make informed decisions when selecting an investment adviser, as it discloses critical information about the adviser's qualifications, business practices, and potential conflicts that may impact the advisory relationship.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment adviser's business practices, conflicts of interest, and other important information.

Who is required to file form adv part 2a?

Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically on the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with key information about an investment adviser's business practices, fees, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 2a?

Information such as the adviser's services, fees, investment strategies, conflicts of interest, disciplinary history, and key personnel must be reported on Form ADV Part 2A.

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