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E Six Thirteen, LLC d/b/a Dunant Wealth Strategies Form ADV Part 2A Disclosure Brochure for Wealth Management Services provided by the Dunant Wealth Division Effective: April 30, 2015, This Disclosure
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How to fill out form adv part 2
How to fill out form adv part 2:
01
Start by gathering all the necessary information. This includes personal information about yourself and your firm, such as name, address, phone number, and email. You will also need to provide information about your employees and any other advisory activities you may have.
02
Next, carefully read and understand the instructions for form adv part 2. Familiarize yourself with the sections and questions asked in the form. This will help you provide accurate and complete information.
03
Begin filling out the form by providing general information about your firm. This includes details about your ownership structure, investment strategies, and other business practices. Be sure to accurately describe your services and any fees or compensation arrangements.
04
Move on to the next section of the form, which requires you to provide information about your disciplinary history and conflicts of interest. Be thorough and transparent in disclosing any past or ongoing legal or regulatory actions, as well as any potential conflicts that may exist.
05
Proceed to the section where you disclose your financial information. This includes details on your assets, liabilities, and sources of revenue. If you have custody of client funds or securities, you will also need to provide specific information about how these are safeguarded.
06
Complete the remaining sections of the form, which cover your client base, your advisory contracts, and any additional disclosures required by the Securities and Exchange Commission (SEC). Double-check all the information you have provided to ensure accuracy and completeness.
Who needs form adv part 2:
01
Registered investment advisers: Investment advisers who are registered with the SEC or state securities authorities are required to submit form adv part 2.
02
Private fund advisers: Advisers who manage private funds that are exempt from registration under the Investment Company Act of 1940 are also required to file form adv part 2.
03
Exempt reporting advisers: Although exempt from many of the reporting and recordkeeping requirements, exempt reporting advisers are still required to complete certain sections of form adv part 2 to provide basic information about their firm and advisory activities.
Remember, it is essential to consult the instructions and guidelines provided by the SEC to ensure accurate and complete completion of form adv part 2.
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What is form adv part 2?
Form ADV Part 2 is a form that registered investment advisers (RIAs) use to provide clients with information about their services, fees, conflicts of interest, and disciplinary history.
Who is required to file form adv part 2?
Registered investment advisers (RIAs) are required to file Form ADV Part 2.
How to fill out form adv part 2?
Form ADV Part 2 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2?
The purpose of Form ADV Part 2 is to provide clients with important information about the services offered by the investment adviser.
What information must be reported on form adv part 2?
Form ADV Part 2 requires information about the adviser's services, fees, conflicts of interest, and disciplinary history.
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