Get the free Form ADV Part 1 - Franklin Regional Retirement (www.frrsma.com)

IARD Username: gdevino1, Org ID: 106093-Page 1 of 35 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: POLE CAPITAL MANAGEMENT, LLC ADV — Annual Amendment,

How to fill out form adv part 1

How to fill out Form ADV Part 1:

1. Gather the necessary information and documents, such as the firm's name, address, and contact information, as well as any required disclosure documents.
2. Provide accurate responses to Section 1 of Form ADV Part 1, which includes information about the adviser's identity, ownership, and any clients or custodians deemed material to the firm.
3. Complete Section 2 of Form ADV Part 1, which covers the adviser's investment strategies, methods of analysis, and any other relevant information regarding the firm's business practices.
4. Answer Section 3 of Form ADV Part 1, which entails disclosing any disciplinary history, conflicts of interest, or legal or disciplinary events involving the firm or its key personnel.
5. Review and revise the completed Form ADV Part 1 to ensure accuracy and compliance with all relevant regulations and guidelines.

Who needs Form ADV Part 1:

1. Registered investment advisers (RIAs) are required to file Form ADV with the Securities and Exchange Commission (SEC) or the appropriate state securities authorities.
2. Firms managing a certain threshold of assets, usually $25 million or more, must register with the SEC and file Form ADV Part 1.
3. Even if a firm is exempt from SEC registration, it may still be required to file Form ADV Part 1 with the appropriate state securities authorities if it meets certain criteria determined by each state.

For pdfFiller’s FAQs

What is form adv part 1?

Form ADV Part 1 is a required registration form that must be filed by investment advisers with the Securities and Exchange Commission (SEC).

Who is required to file form adv part 1?

Investment advisers who meet certain criteria, such as managing assets over a certain threshold, are required to file Form ADV Part 1.

How to fill out form adv part 1?

Form ADV Part 1 is filled out online through the Investment Adviser Registration Depository (IARD) system. The form requires information about the investment adviser's business, ownership, clients, employees, and other relevant details.

What is the purpose of form adv part 1?

The purpose of Form ADV Part 1 is to provide the SEC and investors with information about the investment adviser's business practices, conflicts of interest, fees, and other important details.

What information must be reported on form adv part 1?

Form ADV Part 1 requires information such as the investment adviser's contact information, assets under management, types of clients, services offered, fee structure, business affiliations, and disciplinary history.

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