Get the free Form ADV Part 2A Firm Brochure - bosterweiscomb

Waterway Capital Management Form ADV Part 2A: Firm Brochure March 31, 2015, OUTERWEAR CAPITAL MANAGEMENT, LLC One Maritime Plaza, Suite 800 San Francisco, CA 94111 www.osterweis.com March 31, 2015,

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by carefully reading the instructions provided by the U.S. Securities and Exchange Commission (SEC). These instructions outline the specific requirements and guidelines for completing Form ADV Part 2A accurately.
2. Gather all the necessary information and materials before you start filling out the form. This may include details about your firm's background, ownership, services provided, fees charged, disciplinary history, and more. Ensure that you have all the relevant documentation readily available.
3. Begin by entering your firm's basic identifying information in the designated section. This includes your firm's name, address, contact details, and any other relevant identifying information requested by the form.
4. Proceed to provide a detailed description of your firm's business, including the types of advisory services offered, client types served, investment strategies employed, and any other relevant information about your firm's operations.
5. Describe your firm's fees and compensation structure comprehensively. Provide information regarding the types of fees charged, how they are calculated, and any conflicts of interest that may arise as a result of your fee structure.
6. Disclose any disciplinary history or legal issues involving your firm or its key personnel. This includes any regulatory actions, lawsuits, or convictions that may impact the trustworthiness of your firm.
7. Include information about your firm's key employees, including their names, roles, qualifications, and any relevant disciplinary history they may have.
8. Provide information about your firm's ownership structure, including any beneficial owners or control persons. If your firm is part of a larger organization, disclose any affiliations or relationships that may be relevant.
9. After completing all the required sections and disclosures, carefully review the entire form for accuracy and completeness. Make sure that you have answered all mandatory questions and provided all necessary attachments or addendums.
10. Once you are satisfied with the accuracy of your responses, sign and date the form as the necessary authorized signatory.
11. Keep a copy of the completed Form ADV Part 2A for your own records and submit the appropriate number of copies to the SEC as instructed.

Who needs Form ADV Part 2A?

1. Registered investment advisers (RIAs) in the United States are required to complete and file Form ADV Part 2A with the SEC. This form provides important information about the RIA's business practices, services, fees, and potential conflicts of interest to help investors make informed decisions.
2. RIAs who manage assets above certain thresholds are particularly required to file and maintain an updated Form ADV Part 2A. The specific threshold depends on the state in which the firm operates and whether it qualifies for SEC registration.
3. It is essential for RIAs to comply with this requirement to ensure transparency and regulatory compliance, helping to build trust with clients and the SEC. Failing to appropriately complete or update Form ADV Part 2A may lead to penalties, fines, or even legal consequences.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about a registered investment advisor's services, fees, and potential conflicts of interest.

Who is required to file form adv part 2a?

Registered investment advisors (RIAs) 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 electronically through the Investment Adviser Registration Depository (IARD) system. The form requires detailed information about the RIA's business practices, 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 and potential clients with important information about an RIA's services, fees, and potential conflicts of interest so they can make informed decisions about whether to work with the advisor.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires RIAs to disclose information about their advisory services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.

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