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LAPD View All Page 1 of 27 FORM ADV OMB: 32350049 UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: FINANCIAL SOUNDINGS IARD/CRD Number: 146082 Rev. 10/2012 WARNING: Complete
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Start by carefully reading the instructions provided with the form. These instructions will guide you through the process and help you understand what information is required.
02
Provide your personal information accurately, including your name, address, phone number, and email address. Make sure to double-check this information for any errors as it is important for future correspondence.
03
Fill in details about your investment advisor, such as their name, address, and contact information. If you are unsure about any of these details, reach out to your advisor for clarification.
04
Provide information about your investment objectives and risk tolerance. This section is crucial as it helps your advisor understand your financial goals and develop an appropriate investment strategy for you.
05
Disclose any financial relationships or conflicts of interest that you may have. This is important to ensure transparency and compliance with regulatory requirements.
06
Indicate your financial experience and qualifications. This includes information about any previous investment experience, educational background, or professional certifications you may have.
07
If applicable, provide details about any disciplinary actions or legal proceedings that may have been taken against you or your advisor. It is essential to be honest and transparent in this section.
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Review the completed form to ensure all the information provided is accurate and up to date. Make any necessary corrections before submitting the form.

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Financial-soundings-investment-advisor-form-adv-2013pdf is typically required by individuals seeking the services of an investment advisor. This form is necessary for clients to provide their personal and financial information, as well as their investment objectives and risk tolerance, to their advisor. By filling out this form, clients can communicate their financial goals and preferences to their advisor, allowing the advisor to develop a suitable investment strategy tailored to the client's needs. It is an essential tool for both the client and advisor to establish a clear understanding of the client's financial situation and goals.
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It is a form used by investment advisors to report their financial soundings.
Investment advisors are required to file this form.
The form must be completed with accurate financial information and submitted according to the instructions provided.
The purpose is to provide regulatory bodies with a clear understanding of an investment advisor's financial health.
Financial data such as assets, liabilities, income, and expenses must be reported.
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