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3/30/2015 IARDAllSections UserName:ssolano17,Org ID:111457 FORM ADV UNIFORMAPPLICATIONFORINVESTMENTADVISERREGISTRATIONANDREPORTBYEXEMPTREPORTINGADVISERS PrimaryBusinessName:FIRSTCAPITALCONSULTINGINC.
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How to fill out form adv - fce
How to Fill Out Form ADV - FCE:
Begin by obtaining the necessary forms:
01
Download Form ADV from the U.S. Securities and Exchange Commission (SEC) website.
02
Ensure that you have the most recent version of the form.
Familiarize yourself with the instructions:
01
Read the instructions provided with the form carefully.
02
Understand the specific requirements and guidelines for filling out the form correctly.
Provide general information:
01
Fill out the introductory section of Form ADV, which includes your firm's name, address, phone number, and other basic details.
02
Include any legal names or alternative names your firm uses.
Complete the Part 1 section:
01
Answer all questions in Part 1, which covers information about your business operations, ownership, and affiliations.
02
Include details about your services, client base, and any disciplinary actions taken against your firm.
Fill out the Part 2 section:
01
Part 2 of Form ADV focuses on your firm's advisory business, including fees and compensation, types of clients, methods of analysis, and any potential conflicts of interest.
02
Provide accurate and transparent information about your business practices, ensuring compliance with SEC regulations.
Review and validate the information:
01
Carefully go through the entire form to check for any errors or omissions.
02
Ensure that all required fields are completed and all provided information is accurate and up to date.
Submit the Form ADV:
01
Once you have filled out the form and reviewed it for accuracy, submit the completed Form ADV to the SEC.
02
Note any specific submission requirements or filing fees that may apply.
Who Needs Form ADV - FCE?
01
Investment advisers: Any entity or individual who provides investment advice or manages investment portfolios with assets of $25 million or more needs to complete and file Form ADV with the SEC.
02
Registered investment adviser firms: Investment adviser firms that are registered with the SEC must file Form ADV to maintain their registration and provide updated information about their business.
03
Compliance purposes: Form ADV is essential for regulatory compliance and allows the SEC to monitor and oversee investment advisers, ensuring investor protection in the financial markets.
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