Get the free FORM ADV PART 2A Firm Brochure - Sentinel Benefits Financial
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Sentinel Pension Advisors, Inc. 100 Quannapowitt Parkway Wakefield, MA 01880 Phone: 781.914.1450 Fax: 781.213.7370 Website: www.sentinelgroup.com FORM ADV PART 2A Firm Brochure This brochure provides
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How to fill out form adv part 2a
How to fill out Form ADV Part 2A:
01
Start by providing your firm's name, address, phone number, and contact information at the top of the form.
02
Identify the type of advisory services your firm offers and the types of clients you serve. This includes specifying the assets under management (AUM) and the types of investments your firm makes.
03
Disclose any affiliations your firm has, such as with a parent company or other financial institutions.
04
Describe the education and business background of your firm's key personnel, including their qualifications and any disciplinary history.
05
Outline your firm's investment strategies and methods used to analyze and make investment decisions.
06
Explain any material risks associated with your firm's strategies or investments.
07
Detail your firm's fee schedule, including management fees, performance-based fees, and any other compensation arrangements.
08
Disclose any conflicts of interest your firm faces or potential conflicts that may arise.
09
Provide information on your firm's code of ethics and any disciplinary history or legal actions involving your firm.
10
Finally, sign and date the form to certify its accuracy and completeness.
Who needs Form ADV Part 2A:
01
Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.
02
State-registered investment advisers also need to fill out and submit Form ADV Part 2A, as it is a requirement for compliance with state securities laws.
03
Form ADV Part 2A is designed to provide important information to clients and potential clients about an investment adviser's business practices, conflicts of interest, and background.
Note: The content provided in the example is generic and not specific to any particular form or agreement. It is important to consult the official instructions and guidelines provided by the relevant regulatory authorities when filling out any official forms.
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What is form adv part 2a?
Form ADV Part 2A is a disclosure document that provides information about an investment advisor's services, fees, and potential conflicts of interest.
Who is required to file form adv part 2a?
Registered investment advisors are required to file Form ADV Part 2A with the Securities and Exchange Commission (SEC) or state securities regulators.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system. It requires detailed information about the advisor's business, services, fees, and conflicts of interest.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients with important information about an investment advisor's business practices, fees, and potential conflicts of interest, helping clients make informed decisions about their investments.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires disclosure of the advisor's services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.
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