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Get the free LCA Form ADV Part 2A March 2015 - Lindner Capital

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ITEM 1. COVER PAGE FOR PART 2A OF FORM ADV: FIRM BROCHURE LINDNER CAPITAL ADVISORS, INC. 600 VILLAGE TRACE NE BUILDING 23, SUITE 300 MARIETTA, GA 30067 WWW.LINDNERCAPITAL.COM FIRM CONTACT: PAT POS
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How to fill out LCA Form ADV Part:

01
Provide basic information: Begin by providing your firm's name, address, contact details, and other relevant identification information. Ensure that this information is accurate and up to date.
02
Disclose ownership and control: Detail the ownership and control structure of your firm, including the names, addresses, and percentages of ownership for each individual or entity with a stake in the firm. It is essential to accurately disclose any conflicts of interest.
03
Report disciplinary information: Provide a comprehensive record of any disciplinary events, such as criminal charges or regulatory actions, involving your firm or its key personnel. Include dates, descriptions, and outcomes of each event.
04
Describe your business: Outline the nature of your firm's business, including the types of services offered, client base, investment strategies, and any affiliations or associations with other firms.
05
Present your fee schedule: Clearly state your firm's fee structure, including management fees, performance-based fees, and any additional charges. Make sure to disclose any conflicts of interest related to fees.
06
Discuss your portfolio management methods: Describe your firm's investment strategies, methodologies, and risk management practices. This should include information on any specializations or targeted markets.
07
Detail your disciplinary history: Disclose any disciplinary history for your firm, its employees, or any affiliated individuals. This can include criminal convictions, regulatory actions, or civil lawsuits related to securities or financial services.

Who needs LCA Form ADV Part:

01
Registered investment advisors: All registered investment advisors (RIAs), including those managing mutual funds, private funds, or hedge funds, are required to file the Form ADV with the Securities and Exchange Commission (SEC) or relevant state securities authorities.
02
Firm owners and key personnel: Owners and key personnel of registered investment advisory firms are typically responsible for ensuring the accurate completion and filing of Form ADV Part.
03
Compliance professionals: Compliance professionals and legal advisors within the investment advisory industry should be familiar with the requirements of Form ADV Part and help ensure its accurate completion.
It is important to note that these guidelines are general in nature and should not replace professional advice or specific instructions provided by regulatory authorities. It is recommended to consult the SEC's official instructions and seek assistance from compliance professionals when completing Form ADV Part.
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LCA Form ADV Part is a part of the Form ADV filing required by the U.S. Securities and Exchange Commission (SEC) for investment advisors.
Investment advisors registered with the SEC are required to file LCA Form ADV Part.
LCA Form ADV Part should be filled out online through the Investment Adviser Registration Depository (IARD) system.
The purpose of LCA Form ADV Part is to provide information about the investment advisor's business practices, conflicts of interest, and other key details.
Information such as assets under management, fees charged, services provided, employees, disciplinary history, and more must be reported on LCA Form ADV Part.
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