Get the free Current Form ADV Part 2A 2B - R&A - June 2015

Rodgers & Associates, Ltd. Part 2A of Form ADV The Brochure2025 Limit Pike Lancaster, PA 17601 www.rodgersassociates.comFebruary 2015This brochure provides information about the qualifications and

How to fill out current form adv part

How to fill out current Form ADV Part?

1. Gather all necessary information: Before starting to fill out Form ADV Part, it is essential to collect all the required details. This may include information about your firm, its activities, employees, client types, fee structure, and any disciplinary events. Ensure you have accurate and up-to-date information.
2. Section-by-section completion: Form ADV Part consists of several sections, each requiring specific information. Carefully read and understand each section before proceeding. Provide the necessary details accurately and in accordance with the instructions provided.
3. Section 1: Provide basic identifying information about your firm, including legal name, business addresses, contact information, and any other required details such as website address or social media profiles.
4. Section 2: Detail information about your firm's ownership structure, organizational structure, and any related persons associated with the firm. This section may require information about your principal executive officers, general partners, or directors.
5. Section 3: Describe your firm's investment advisory business, including the types of clients you serve and the services you offer. Provide information about your assets under management, any investment strategies employed, and any material risks or conflicts of interest.
6. Section 4: Disclose information about your firm's compliance program and code of ethics. This includes details about your policies and procedures, any disciplinary events, and any affiliations or business activities that may raise conflicts of interest.
7. Section 5: Provide additional information about your firm's financials, including balance sheet and income statements. This section may require you to disclose any financial reporting discrepancies or any financial events that could affect your ability to meet contractual obligations.
8. Section 6: If applicable, provide information about your firm's wrap-fee program, including details on compensation, offering documents, and any conflicts of interest related to the program.
9. Section 7: Finally, review and sign the form. Ensure all information provided is accurate and complete. If any changes occur after submission, it is important to promptly amend the form.

Who needs current Form ADV Part?

1. Investment advisors: Investment advisors, including registered investment advisors (RIAs), are required to complete and submit Form ADV Part. This requirement applies to advisors who manage assets on behalf of clients and provide investment advice for compensation.
2. SEC-registered firms: Investment advisory firms that are registered with the U.S. Securities and Exchange Commission (SEC) are obligated to file Form ADV Part. This form helps the SEC and other regulators monitor and regulate the activities of investment advisors.
3. State-registered firms: In addition to SEC-registered firms, investment advisory firms operating at the state level may be required to file Form ADV Part. State securities regulators utilize this information to oversee and supervise investment advisors operating within their jurisdiction.

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What is current form adv part?

Current Form ADV Part is a form filed by investment advisers with the Securities and Exchange Commission (SEC) to register as an investment adviser.

Who is required to file current form adv part?

Investment advisers who manage assets for clients and meet certain thresholds are required to file the current Form ADV Part.

How to fill out current form adv part?

The Form ADV Part can be filled out electronically on the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of current form adv part?

The purpose of the current Form ADV Part is to provide information about the investment adviser's business practices, fees, services, and potential conflicts of interest to clients and regulators.

What information must be reported on current form adv part?

The Form ADV Part requires information such as assets under management, fee structure, business practices, disciplinary history, and key employees of the investment adviser.