Get the free Form ADV Part 2B Brochure Supplement - ProManage LLC

Promenade, LLC 150 N. Michigan Ave. Suite 2930 Chicago, IL 60601 (312) 4560665 www.promanageplan.com Form ADV Part 2B Brochure Supplement 03/29/2012 This brochure supplement provides information about

How to fill out form adv part 2b

How to Fill Out Form ADV Part 2B:

1. Understand the Purpose: Form ADV Part 2B, also known as the Brochure Supplement, is a regulatory requirement for investment advisers. It provides clients with information about the individuals at a firm who provide investment advice or who make investment decisions on behalf of the firm.
2. Obtain a Blank Form: The Securities and Exchange Commission (SEC) provides a standardized Form ADV Part 2B that can be downloaded from their official website. Make sure to use the most recent version of the form.
3. Gather Necessary Information: Before filling out the form, gather all the relevant information about the supervised persons of your investment advisory firm. This includes their educational background, professional experience, qualifications, services provided, and other pertinent information.
4. Start with Section 1: Begin by providing the required information about the specific supervised person. This typically includes their full name, title, and business address. If there are multiple individuals to be listed, each person will have their own section within the form.
5. Background and Education: In this section, provide details about the supervised person's educational background, such as degrees earned, certifications obtained, and any relevant professional qualifications. You may also include information about memberships in professional organizations or associations.
6. Professional Experience: Describe the supervised person's relevant work experience, including previous employers, job titles, and a brief description of duties performed. This section helps clients understand the individual's expertise and experience in the financial field.
7. Other Business Activities: If the supervised person engages in any other business activities outside of the investment advisory firm, disclose those activities in this section. This may include involvement in other industries, roles in non-profit organizations, or teaching engagements.
8. Disciplinary History: If the supervised person has any disciplinary history, including any regulatory or legal actions, disclose that information in this section. It is important to be transparent about any past regulatory issues to provide clients with a complete picture.
9. Additional Compensation: Disclose any additional compensation received by the supervised person, such as bonuses, commissions, or profit-sharing arrangements. This helps clients understand the potential conflicts of interest that may arise.
10. Signature and Filing: Once you have completed all the necessary sections and verified the accuracy of the information provided, sign and date the form. Keep a copy for your records and file the original as required by the relevant regulatory authorities.

Who needs Form ADV Part 2B:

1. Registered Investment Advisers: Investment advisers registered with the SEC are generally required to provide their clients with a Form ADV Part 2B. This ensures that clients have access to information about the individuals providing investment advice and making decisions on behalf of the firm.
2. Clients of Registered Investment Advisers: Clients of registered investment advisers have the right to receive the Form ADV Part 2B. It enables them to make informed decisions about working with the advisory firm by providing detailed information about the supervised persons involved in managing their investments.
3. Compliance with Regulatory Requirements: Meeting the regulatory requirements is crucial for investment advisers to maintain compliance with the applicable rules and regulations. Filing Form ADV Part 2B is a necessary step to ensure adherence to industry standards and to maintain transparency with clients.

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What is form adv part 2b?

Form ADV Part 2B is a disclosure document that provides clients with information about the qualifications and business practices of their investment adviser.

Who is required to file form adv part 2b?

Investment advisers registered with the SEC or state securities authorities are required to file Form ADV Part 2B.

How to fill out form adv part 2b?

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

What is the purpose of form adv part 2b?

The purpose of Form ADV Part 2B is to provide clients with clear and concise information about their investment adviser's business practices and potential conflicts of interest.

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

Form ADV Part 2B requires information such as the adviser's services, fees, disciplinary history, conflicts of interest, and key personnel.