Get the free Form ADV, Part II - Wilmington Trust!

Firm Brochure (Part 2A of Form ADV) WILMINGTON TRUST INVESTMENT ADVISORS, INC. 111 South Calvert Street, 26th Floor Baltimore, MD 21202 (410) 986-5600 www.wtia.com April 1, 2013, This Brochure provides

How to fill out form adv part ii

How to fill out Form ADV Part II:

1. Begin by gathering all necessary information, such as the company's legal name, contact details, and registration number.
2. Provide a brief background on the firm, including its history, key personnel, and any disciplinary actions or legal proceedings.
3. Next, describe the firm's investment strategy, including the types of securities the firm typically works with and any specific methods or approaches used.
4. Detail the firm's fees and compensation structure. This includes information on any advisory fees, performance-based fees, and other expenses clients can expect.
5. Outline the firm's potential conflicts of interest, such as relationships with affiliates or the receipt of compensation from third parties. Be transparent and honest about any conflicts that may arise.
6. Provide information on any additional services offered by the firm, such as financial planning or consulting services.
7. Include a section on the firm's disciplinary history, detailing any regulatory or legal actions taken against the firm or its employees.
8. Finally, ensure that all necessary signatures and attachments are included and that the form is submitted according to the appropriate guidelines and deadlines.

Who needs Form ADV Part II:

1. Registered investment advisers (RIAs) are typically required to complete and file Form ADV Part II with the Securities and Exchange Commission (SEC) or the applicable state securities regulator.
2. Investment advisers who manage more than $25 million in assets are required to file with the SEC, while those managing less than $25 million may be required to file with their state securities regulator.
3. Form ADV Part II serves as a disclosure document, providing valuable information to current and potential clients about the services, fees, conflicts of interest, and disciplinary history of the investment adviser. It helps ensure transparency and accountability in the industry.
4. Clients or potential clients of an investment adviser can also request a copy of Form ADV Part II to better understand the adviser's business practices and make informed decisions about their investments.

For pdfFiller’s FAQs

What is form adv part ii?

Form ADV Part 2 is a disclosure document that must be filed by investment advisers with the Securities and Exchange Commission (SEC) in the United States. It provides information about an adviser's business practices, services offered, fees charged, and any conflicts of interest.

Who is required to file form adv part ii?

Investment advisers registered with the SEC are required to file Form ADV Part 2. This includes advisers managing assets over certain thresholds or providing advice to certain types of clients.

How to fill out form adv part ii?

Form ADV Part 2 should be filled out by providing accurate and complete information about the adviser's business practices, services offered, fees charged, conflicts of interest, and any other required disclosures. The form should be completed electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part ii?

The purpose of Form ADV Part 2 is to provide clients and prospective clients with information about an investment adviser's business practices, services, fees, and potential conflicts of interest. It helps investors make informed decisions when choosing an adviser.

What information must be reported on form adv part ii?

Form ADV Part 2 requires investment advisers to report information such as the adviser's background and experience, services offered, fees charged, disciplinary history, potential conflicts of interest, and the investment strategies used.

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