Get the free Form ADV Part 2A 00182903 - FCE Group Inc

Firm Brochure (Part 2A of Form ADV) First Capital Consulting, Inc. 175 Great Neck Road, Suite 250 Great Neck NY 11021 Tel: (516) 4878220 Fax: (516) 8294820 Email: DHS fcequities.com MARCH 20, 2015,

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by gathering all the necessary information. You will need to provide details about your firm, its structure, ownership, and operations. This includes information such as your firm's legal name, address, contact information, and any other relevant identifying details.
2. Once you have the required information, begin filling out the sections of Form ADV Part 2A. This includes providing details about your firm's background, including its history, key personnel, and any disciplinary information. You will also need to disclose any affiliations or relationships that may exist with other firms or individuals.
3. Next, move on to the sections that cover your firm's services and fees. Here, you will need to describe the types of services your firm provides, any minimum investment requirements, fee structures, and any potential conflicts of interest. It is important to be thorough and transparent in providing this information.
4. The next section covers your firm's investment strategies and methods. You will need to detail the investment approaches your firm uses, any specific methodologies or models employed, and any material risks associated with your strategies. It is important to accurately and comprehensively describe your firm's investment practices.
5. The following section pertains to your firm's performance history. You will need to provide information about the performance of your firm's advisory accounts, including any composite performance presentations, benchmarks used, and any relevant disclosures or footnotes. It is essential to ensure accuracy and consistency in reporting performance information.
6. Finally, complete any other sections or disclosures that are relevant to your firm's operations. This may include information about your firm's custody arrangements, participation in wrap fee programs, use of social media or other forms of communication, and other regulatory and compliance-related disclosures.

Who needs Form ADV Part 2A:

1. Investment Advisers: Form ADV Part 2A is primarily required for registered investment advisers. If you provide investment advice or manage client assets and meet the specified thresholds defined by the Securities and Exchange Commission (SEC) or state securities regulators, you will typically be required to file Form ADV Part 2A.
2. SEC Filing: Investment advisers with assets under management (AUM) of $25 million or more are generally required to file with the SEC. These advisers must submit Form ADV Part 2A as part of their registration and ongoing disclosure obligations.
3. State Filing: Investment advisers with AUM below the SEC threshold are typically subject to state regulation. Each state has its own requirements, and advisers falling under state jurisdiction may need to file Form ADV Part 2A with the relevant state securities regulator.

In summary, Form ADV Part 2A is necessary for investment advisers to provide comprehensive and transparent disclosures about their firm's operations, services, fees, and potential conflicts of interest. It is crucial to accurately and thoroughly fill out this form to comply with regulatory requirements and to provide essential information to clients or potential investors.

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What is form adv part 2a?

Form ADV Part 2A is the disclosure document for investment advisers registered with the Securities and Exchange Commission (SEC).

Who is required to file form adv part 2a?

Investment advisers 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 information about an investment adviser's business practices, conflicts of interest, and disciplinary history.

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

Form ADV Part 2A requires information about an investment adviser's services, fees, potential conflicts of interest, and disciplinary history.