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This brochure provides information about the qualifications and business practices of Thornburg Investment Management, Inc. It highlights the advisory services offered, fees, and material changes
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How to fill out form adv part 2a
How to fill out FORM ADV PART 2A BROCHURE
01
Start with the cover page, including the firm's name, address, and contact information.
02
Provide a table of contents to help readers navigate through the brochure.
03
Describe the firm's services and investment strategies, including the types of clients served.
04
Disclose the firm's fees and compensation structure, including any performance-based fees, if applicable.
05
Detail any disciplinary information, including legal or regulatory actions against the firm or its personnel.
06
Discuss the firm's investment risks and any potential conflicts of interest.
07
Include information on the firm's personnel, including educational backgrounds and experience.
08
Specify how clients can obtain additional information, including how to contact the firm for further inquiries.
Who needs FORM ADV PART 2A BROCHURE?
01
Investment advisers registered with the SEC or state regulators who provide advisory services to clients.
02
Firms that solicit clients for investment advisory services.
03
Entities seeking to inform clients about their services, fees, and disciplinary history.
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People Also Ask about
What is the ADV Part 2B brochure supplement?
Part 2B of Form ADV: Brochure Supplement The supervised person's name, business address and telephone number (if different from yours). 2. Your firm's name, business address and telephone number. If your firm brochure uses a business name for your firm, use the same business name for the firm in the supplement.
What is an ADV part 2A brochure?
Form ADV Part 2 has two distinct sections. Part 2A outlines the various disclosures you must include in your brochure. Part 2B is the brochure supplement and contains information about the individuals within a registered investment advisor (RIA) firm (“supervised persons”) who interact with and advise clients.
What is ADV Part 2A also known as?
Part 2A requires advisers to create narrative brochures containing information about the advisory firm. The requirements in Part 2A apply to all investment advisers registered with or applying for registration with the SEC, but do not apply to exempt reporting advisers.
Which part of ADV is the brochure?
Part 2 of Form ADV Part 2B is called the “brochure supplement” and includes information about the specific individuals, acting on behalf of the investment adviser, who actually provide the investment advice and interact with the client.
What is form adv part 2A?
Part 2 of Form ADV is divided into two parts; Part 2A (commonly referred to as the “firm brochure”) requires material disclosures regarding the advisory firm, Part 2B (commonly referred to as the “brochure supplement”) requires material disclosures regarding certain advisory personnel.
Is Adv Part 2 the brochure?
For purposes of the IARD system, Part 2 of the Form ADV is referred to as the "Brochure." The brochure is uploaded as an attachment to Form ADV during the form filing submission process. The brochure must be converted to a text-searchable, PDF file before submission to the IARD system.
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.
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What is FORM ADV PART 2A BROCHURE?
FORM ADV PART 2A BROCHURE is a required disclosure document that investment advisers provide to their clients, detailing the adviser’s services, fees, and business practices.
Who is required to file FORM ADV PART 2A BROCHURE?
Investment advisers registered with the SEC or state regulators are required to file FORM ADV PART 2A BROCHURE.
How to fill out FORM ADV PART 2A BROCHURE?
Investment advisers must complete FORM ADV PART 2A by providing detailed information about their business practices, including types of clients, fees, conflicts of interest, and disciplinary history, following specific guidelines set by the SEC.
What is the purpose of FORM ADV PART 2A BROCHURE?
The purpose of FORM ADV PART 2A BROCHURE is to ensure that clients receive essential information about the adviser’s business practices and fees to make informed investment decisions.
What information must be reported on FORM ADV PART 2A BROCHURE?
FORM ADV PART 2A requires information about the adviser's services, fees, disciplinary history, investment strategies, types of clients, and potential conflicts of interest.
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