Get the free SEC Form ADV Part 2B Disclosure Brochure Supplement

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SEC Form ADV Part 2B Disclosure Brochure Supplement www.roundtablewealth.comSTEVEN J. GIACOMO ROBERT C. DAVIS USHER SHAH 319 Leno Avenue Westfield, NJ 07090 (908) 7897310Published: March 2015This

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How to fill out SEC Form ADV Part:

01

Gather all necessary information: Before filling out the SEC Form ADV Part, make sure you have all the required information at hand, including details about your firm, its structure, key personnel, investment strategies, and any disciplinary history.

02

Start with Section 1: In Section 1 of Form ADV Part 1, provide general information about your firm, such as its name, address, contact details, and legal structure. You will also need to disclose whether you are a registered investment adviser with any state or the SEC.

03

Proceed to Section 2: Section 2 of Form ADV Part 1 requires you to provide information about your firm's investment strategies, the types of clients you serve, and the assets under management. You'll also need to disclose any affiliations or associations with other financial firms.

04

Complete Section 3: In Section 3, provide information about your firm's employees, including their backgrounds, qualifications, and any disciplinary actions or legal proceedings involving them.

05

Continue with Schedule A: Schedule A of Form ADV Part 1 focuses on the disclosure of direct and indirect compensation received by the adviser or its employees. Provide details about compensation arrangements, including fees, commissions, and other forms of compensation.

06

Address other sections and schedules: Depending on the nature of your firm and its activities, there may be additional sections and schedules to complete. These could include information about your advisory business, private fund reporting, and more. Review the instructions carefully to ensure you cover all relevant sections.

Who needs SEC Form ADV Part:

01

Registered investment advisers: SEC Form ADV Part is primarily required for registered investment advisers in the United States. It is used to register as an investment adviser with the Securities and Exchange Commission (SEC) or state securities authorities, depending on the assets under management and other criteria.

02

State-level exemptions: Even if you qualify for an exemption from SEC registration, some states may still require the submission of Form ADV Part 1. It is crucial to check the requirements of the specific states you operate in to ensure compliance.

03

Compliance purposes: Even if you are not required by law to file Form ADV Part 1, it can still be beneficial to complete and maintain the form for compliance purposes. Many institutional investors and potential clients may request this form as part of their due diligence process when considering investment advisers.

Note: This response provides a general overview and should not be considered legal or financial advice. It is important to consult with legal and compliance professionals to ensure accurate and complete completion of the SEC Form ADV Part.

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