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Get the free Form ADV Part 2A Disclosure Brochure - United Planners

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UNITED PLANNERS FINANCIAL SERVICES 7333 E. DOUBLET RANCH ROAD, SUITE 120 SCOTTSDALE, AZ 85258 TEL: 800.966.8737 / FAX: 480.503.8173 Item 2: Material Changes A. This Form ADV Part 2A Disclosure Brochure
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How to fill out Form ADV Part 2A:

01
Gather the necessary information: Before starting to fill out the form, gather all the relevant information needed to complete it accurately. This includes details about your firm, its employees, services offered, and any potential conflicts of interest.
02
Identify the sections of Form ADV Part 2A: Familiarize yourself with the structure of the form to facilitate the completion process. The form is divided into various sections, such as Item 1 (Cover Page), Item 2 (Material Changes), Item 3 (Formed Entities), and so on.
03
Begin with the Cover Page: Start by completing the Cover Page of Form ADV Part 2A. This section requires basic information about your firm, including its name, address, contact details, and the fiscal year-end.
04
Provide accurate information for each Item: Proceed through each Item of the form systematically and provide accurate information in the designated spaces. This may include details about your firm's ownership, services provided, fees charged, disciplinary history, and other relevant disclosures.
05
Be transparent about conflicts of interest: Ensure that you accurately disclose any conflicts of interest your firm may have in Item 10 of Form ADV Part 2A. This includes potential conflicts related to compensation, affiliations, or any other factors that could compromise your clients' interests.
06
Consult the instructions and guidelines: Throughout the form, refer to the instructions and guidelines provided by the Securities and Exchange Commission (SEC). These instructions offer specific guidance for each section of the form and can help you correctly fill out the form.
07
Review and proofread your submission: Once you have completed all the necessary sections of Form ADV Part 2A, take the time to thoroughly review the form for any errors or inconsistencies. This is important as providing accurate information is essential for regulatory compliance.

Who needs form ADV Part 2A?

01
Registered Investment Advisors (RIAs): Form ADV Part 2A is required to be filled out by RIAs who are registered with the Securities and Exchange Commission (SEC) or state securities regulators.
02
Firms providing investment advisory services: Any firm engaged in providing investment advisory services, managing client portfolios, or offering financial advice for compensation is typically required to file Form ADV Part 2A.
03
Compliance with regulatory obligations: Form ADV Part 2A helps regulators and investors understand the nature of the services provided by an RIA, its fee structure, potential conflicts of interest, disciplinary history, and other relevant information. Therefore, it is a crucial document for maintaining transparency and compliance with regulatory obligations.
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Form ADV Part 2A is a disclosure document that registered investment advisors must provide to clients. It includes information about the advisor's services, fees, conflicts of interest, and disciplinary history.
Registered investment advisors (RIAs) are required to file Form ADV Part 2A.
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
The purpose of Form ADV Part 2A is to provide key information to clients about an investment advisor's business practices and potential conflicts of interest.
Form ADV Part 2A requires information about an advisor's services, fees, disciplinary history, conflicts of interest, and other relevant details.
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