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2016 FORM ADV, PART 2 A & B Maxwell Poll Investment Advisors is a fee only advisor registered in the State of California Chris Accent, Sr. Vice President, CCO Maxwell Poll Investment Advisors Form

How to fill out 2016 form adv

How to fill out 2016 Form ADV:

1. Gather necessary information: Before filling out the form, gather all the required information such as the firm's name, address, phone number, email, website, and other relevant contact information. It's also important to have detailed knowledge about the firm's assets, clients, services provided, and disciplinary history if applicable.
2. Provide accurate information: Carefully fill out each section of the form with accurate and up-to-date information. Double-check all the data entered to avoid any errors or discrepancies.
3. Complete Section 1: In this section, provide general information about the firm, including its name, address, contact details, and organization structure. Fill out any other requested information such as the EIN (Employer Identification Number).
4. Fill out Section 2: This section requires information about the firm's ownership, including details about control persons, executive officers, and partners. Provide the necessary information for each individual, including their name, address, position, and ownership percentage.
5. Complete Section 3: In this section, disclose information about any criminal or regulatory actions against the firm or its employees. Provide accurate details about the nature of the action, the parties involved, and any resulting disciplinary measures or sanctions.
6. Fill out Section 4: This section requires information about the firm's advisory activities, including the types of services provided, securities recommendations, and any related fees or compensation received. Provide accurate and detailed information for each advisory activity.
7. Complete Section 5: In this section, disclose any conflicts of interest that the firm may have. This includes information about any affiliations, compensation arrangements, or other potential conflicts that may impact the firm's ability to act in the client's best interest. Provide accurate and comprehensive information to ensure transparency.
8. Fill out Section 6: This section pertains to the firm's disciplinary history. Disclose any legal or disciplinary actions against the firm or its employees. Provide detailed information about the nature of the action, parties involved, and any sanctions imposed.
9. Complete Section 7: In this section, answer relevant questions about the firm's financials. This includes providing accurate information about the firm's assets under management, fees, revenue, and any other financial data required.
10. Review and submit: Finally, thoroughly review the entire form to ensure accuracy and completeness. Make any necessary corrections and verify that all required fields have been filled out. Once satisfied, submit the completed 2016 Form ADV to the appropriate regulatory authority.

Who needs 2016 Form ADV:

1. Investment Advisers: Any firm or individual engaged in the business of providing investment advisory services to clients for compensation generally needs to file Form ADV with the Securities and Exchange Commission (SEC) or the relevant state securities authority.
2. Registered Investment Advisers (RIAs): Investment advisers that are managing assets above certain thresholds are required to register with the SEC. These firms must file Form ADV as part of the registration process and periodically update the form to disclose any material changes.
3. State-Registered Advisers: Investment advisers managing assets below the SEC registration threshold are usually required to register with the state securities authority where their principal office and place of business are located. State-registered advisers file Form ADV with the appropriate state securities authority.
4. Exempt Reporting Advisers (ERAs): Some advisers may be eligible for exemptions from full SEC registration but are still required to file a truncated version of Form ADV known as "Form ADV-E." These ERAs must meet specific criteria to qualify for the exemption.
5. Reporting Requirements: Form ADV serves as a disclosure document for investment advisers, providing essential information about the firm's business practices, conflicts of interest, and disciplinary history. It helps regulators, clients, and potential investors make informed decisions about engaging with the adviser.

Note: The specific requirements and regulations regarding Form ADV may vary depending on the jurisdiction and the nature of the advisory business. It is always advisable to consult with legal or compliance professionals for accurate guidance specific to your situation.

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What is form adv?

Form ADV is a required disclosure document that registered investment advisors must file with the Securities and Exchange Commission (SEC) and provide to clients.

Who is required to file form adv?

Registered investment advisors are required to file Form ADV with the SEC.

How to fill out form adv?

Form ADV can be filled out electronically through the Investment Advisor Registration Depository (IARD) system.

What is the purpose of form adv?

The purpose of Form ADV is to provide essential information about an investment advisor's business, services, fees, and potential conflicts of interest to clients and regulatory authorities.

What information must be reported on form adv?

Form ADV requires disclosure of information such as the advisor's assets under management, fees, services provided, conflicts of interest, and disciplinary history.