Get the free Form ADV 2A - The Asset Advisory Group

Firm Brochure (Part 2A of Form ADV) The Asset Advisory Group, Inc. 9200 Montgomery Road Cincinnati, Ohio 45242 (513) 7717222 (888) 2347982 www.taaginc.com info taaginc.com This brochure provides information

How to fill out form adv 2a

How to fill out form adv 2a:

1. Begin by obtaining a copy of form adv 2a, which can be found on the U.S. Securities and Exchange Commission (SEC) website or by requesting it from the SEC directly.
2. Carefully read through the instructions provided with the form adv 2a. These instructions will provide important guidance on how to complete each section accurately.
3. Start by entering your firm's name, address, and contact details in the appropriate spaces provided. Make sure this information is current and up-to-date.
4. Provide information about your firm's ownership structure, including details about any parent company or subsidiaries. If your firm is part of an investment adviser group, disclose the information of the other affiliated advisers.
5. Disclose any disciplinary history for your firm or its employees, including any legal or regulatory actions you have faced in the past. It is important to be thorough and honest in this section.
6. Describe the types of advisory services your firm offers, including details about the investment strategies employed and the types of clients you serve. This section should give a clear and concise overview of your firm's offerings.
7. Provide information about your firm's fee structure, including any performance-based fees or other compensation arrangements. Be sure to accurately document your fee schedules to provide clarity to potential clients.
8. Disclose any conflicts of interest that may exist within your firm. This could include situations where your firm or its employees have a financial incentive that may be contrary to the best interests of your clients.
9. Complete the required financial statements, providing accurate information about your firm's assets, liabilities, and any financial conditions that may be relevant to your clients.
10. Review the completed form adv 2a for accuracy and completeness. Make sure all sections have been filled out accurately and all required information has been provided.

Who needs form adv 2a:

1. Registered investment advisers in the United States are required to file form adv 2a with the SEC. This form serves as a disclosure document for clients and potential clients, providing important information about the adviser's business practices, fees, and potential conflicts of interest.
2. Investment advisory firms that are required to register with state securities regulators may also need to file form adv 2a with their respective state securities authority.
3. Any individual or entity considering engaging the services of an investment adviser should review form adv 2a to gain a better understanding of the adviser's background, services, and potential conflicts of interest. This form can help investors make informed decisions about working with a particular adviser.

For pdfFiller’s FAQs

What is form adv 2a?

Form ADV 2A is a disclosure document that investment advisors must provide to clients and prospective clients.

Who is required to file form adv 2a?

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

How to fill out form adv 2a?

Form ADV 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv 2a?

The purpose of Form ADV 2A is to provide clients and prospective clients with important information about an investment advisor's business practices, conflicts of interest, and fees.

What information must be reported on form adv 2a?

Form ADV 2A requires investment advisors to report information such as their business practices, ownership, disciplinary history, and fees.

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