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LAPD Views All 4/4/13 8:38 AM FORM ADV OMB: 32350049 UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: SEAFARER CAPITAL PARTNERS, LLC IARD/CRD Number: 158671 Rev. 10/2012
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How to fill out form adv omb 3235-0049
How to fill out form adv omb 3235-0049:
01
Start by carefully reading the instructions provided with the form. This will help you understand the purpose of the form and the information required.
02
Provide your basic information such as your name, mailing address, and contact details in the designated fields.
03
Specify your filer category, which could be an investment advisor registered with the Securities and Exchange Commission (SEC) or a certain type of exempt reporting advisor.
04
Indicate whether your firm is filing for the first time or has previously filed and provide the relevant filing history details.
05
Answer the questions related to your firm's activities, services, clients, and affiliated persons. Ensure that you provide accurate information and do not leave any required fields blank.
06
If your firm has a social media presence or engages in electronic communication, provide the relevant details as requested on the form.
07
Disclose information regarding any disciplinary actions or legal proceedings against your firm or its personnel.
08
Include details about your firm's compensation structure, fee arrangements, and business practices.
09
Provide information about your firm's affiliates and any financial industry affiliations you may have.
10
Review the completed form for any errors or omissions before submitting it to the SEC.
Who needs form adv omb 3235-0049:
01
Investment advisors registered with the Securities and Exchange Commission (SEC) are required to fill out form adv omb 3235-0049.
02
Exempt reporting advisors who meet certain criteria defined by the SEC also need to file this form.
03
This form is essential for regulatory compliance and helps the SEC gather information about investment advisors and their activities, enabling them to monitor and regulate the industry effectively.
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What is form adv omb 3235-0049?
Form ADV OMB 3235-0049 is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state securities authorities.
Who is required to file form adv omb 3235-0049?
Investment advisers who manage over a certain threshold of assets are required to file Form ADV OMB 3235-0049.
How to fill out form adv omb 3235-0049?
Form ADV OMB 3235-0049 can be filled out online through the SEC's Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv omb 3235-0049?
The purpose of Form ADV OMB 3235-0049 is to provide information about the investment adviser's business, methods of operation, and other key details to regulators and potential clients.
What information must be reported on form adv omb 3235-0049?
Form ADV OMB 3235-0049 requires information about the investment adviser's ownership, clients, employees, business practices, affiliations, and any disciplinary history.
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