Get the free Form Adv Part 2a 3 27 14pdf

Name: Fillable Online Form Adv Part 2a 3 27 14pdf Fax Email Print - pdfFiller
Brand: pdfFiller
Rating: 4.8 (48 reviews)

Get Form

Show details

RAIN CAPITAL MANAGEMENT, LLC PART 2A OF FORM ADV FIRM BROCHURE RAIN CAPITAL MANAGEMENT, LLC 121 SW Morrison Street, Suite 850 Portland, OR 97204 503.822.1700 www.raincapital.com March 26, 2015, This

We are not affiliated with any brand or entity on this form

Get, Create, Make and Sign form adv part 2a

Edit your form adv part 2a form online

Type text, complete fillable fields, insert images, highlight or blackout data for discretion, add comments, and more.

Add your legally-binding signature

Draw or type your signature, upload a signature image, or capture it with your digital camera.

Share your form instantly

Email, fax, or share your form adv part 2a form via URL. You can also download, print, or export forms to your preferred cloud storage service.

How to edit form adv part 2a online

Ease of Setup

pdfFiller User Ratings on G2

Ease of Use

pdfFiller User Ratings on G2

To use the professional PDF editor, follow these steps:

1

Create an account. Begin by choosing Start Free Trial and, if you are a new user, establish a profile.

2

Prepare a file. Use the Add New button to start a new project. Then, using your device, upload your file to the system by importing it from internal mail, the cloud, or adding its URL.

3

Edit form adv part 2a. Rearrange and rotate pages, insert new and alter existing texts, add new objects, and take advantage of other helpful tools. Click Done to apply changes and return to your Dashboard. Go to the Documents tab to access merging, splitting, locking, or unlocking functions.

4

Save your file. Select it from your list of records. Then, move your cursor to the right toolbar and choose one of the exporting options. You can save it in multiple formats, download it as a PDF, send it by email, or store it in the cloud, among other things.

pdfFiller makes working with documents easier than you could ever imagine. Register for an account and see for yourself!

Uncompromising security for your PDF editing and eSignature needs

Your private information is safe with pdfFiller. We employ end-to-end encryption, secure cloud storage, and advanced access control to protect your documents and maintain regulatory compliance.

Learn more about security & compliance

How to fill out form adv part 2a

How to Fill Out Form ADV Part 2A:

01

Begin by downloading Form ADV Part 2A from the Securities and Exchange Commission (SEC) website. This form is required for Registered Investment Advisers (RIAs) to disclose important information regarding their business practices.

02

Start by filling out the basic information section of the form. This includes providing details such as the name and contact information of the RIA, as well as the names and titles of all key personnel involved in the advisory business.

03

Move on to the next section, which focuses on the RIA's educational and business background. Provide information regarding the educational qualifications and relevant experience of the RIA and its personnel. This section also requires disclosing any legal or disciplinary events that may impact the RIA's ability to provide services.

04

Next, address the advisory business section. Here, outline the types of advisory services offered, including investment strategies, the minimum account size required, and any limitations or restrictions associated with the services provided.

05

Proceed to the fees and compensation section. Provide a detailed breakdown of the RIA's fee structure, including management fees, performance-based fees, and any additional charges or expenses clients may incur.

06

Discuss the methods of analysis and investment strategies employed by the RIA. Provide a comprehensive explanation of how investment decisions are made, including any risks and limitations associated with the strategies used.

07

Detail the RIA's disciplinary information, if applicable. Disclose any legal or disciplinary events that have occurred within the past ten years, including criminal charges, civil suits, or regulatory actions.

08

Finally, complete the conflicts of interest section. Disclose any conflicts that may arise between the RIA's interests and those of its clients. This includes financial arrangements with third parties, personal trading activities, and any potential conflicts that may limit the RIA's ability to act in the best interests of its clients.

Who Needs Form ADV Part 2A:

01

Registered Investment Advisers (RIAs) are required to fill out Form ADV Part 2A. This form is essential for providing potential and existing clients with important information about the RIA's business practices, services, fees, and potential conflict of interests.

02

The form helps clients make informed decisions regarding their investments by ensuring transparency and disclosing relevant information about the RIA's background, qualifications, investment strategies, and any disciplinary events.

03

Additionally, regulatory bodies such as the Securities and Exchange Commission (SEC) and state securities authorities use Form ADV Part 2A to monitor and regulate the advisory industry, ensuring compliance with applicable rules and regulations.

In summary, Form ADV Part 2A is necessary for RIAs to provide comprehensive information to both clients and regulators. By accurately filling out this form, RIAs can establish trust, transparency, and regulatory compliance, promoting a healthy and informed investment environment.

Fill form : Try Risk Free

Rate the form

4.8

Satisfied

48 Votes

For pdfFiller’s FAQs

Below is a list of the most common customer questions. If you can’t find an answer to your question, please don’t hesitate to reach out to us.

How can I send form adv part 2a for eSignature?

Once you are ready to share your form adv part 2a, you can easily send it to others and get the eSigned document back just as quickly. Share your PDF by email, fax, text message, or USPS mail, or notarize it online. You can do all of this without ever leaving your account.

Can I create an electronic signature for the form adv part 2a in Chrome?

Yes. By adding the solution to your Chrome browser, you may use pdfFiller to eSign documents while also enjoying all of the PDF editor's capabilities in one spot. Create a legally enforceable eSignature by sketching, typing, or uploading a photo of your handwritten signature using the extension. Whatever option you select, you'll be able to eSign your form adv part 2a in seconds.

How do I edit form adv part 2a on an iOS device?

Create, edit, and share form adv part 2a from your iOS smartphone with the pdfFiller mobile app. Installing it from the Apple Store takes only a few seconds. You may take advantage of a free trial and select a subscription that meets your needs.

What is form adv part 2a?

Form ADV Part 2A is a document that provides information about an investment advisor, including their services, fees, and potential conflicts of interest.

Who is required to file form adv part 2a?

Investment advisors registered with the SEC are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about an investment advisor's business practices.

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

Form ADV Part 2A must include information about the investment advisor's services, fees, disciplinary history, and conflicts of interest.

Fill out your form adv part 2a online with pdfFiller!

pdfFiller is an end-to-end solution for managing, creating, and editing documents and forms in the cloud. Save time and hassle by preparing your tax forms online.

Get started now