Get the free Our FORM ADV PART II as filed with the SEC - wagner capital - wagnercapital
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Wagner Bowman Management Corp 1777 Reisterstown Road, Suite 295B Baltimore, Maryland 212087108 Phone (410× 6537979 Toll-free (800× 8869262 Facsimile (410× 6538142 WWW.WAGNERCAPITAL.NET 7×14/2014
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How to fill out our form adv part
To fill out our Form ADV Part, follow these steps:
01
Gather necessary information: Collect all the required information such as your firm's name, address, contact details, registration information, ownership details, and any relevant background information.
02
Start with Section 1: Begin by completing Section 1 of Form ADV Part. This section requires basic identifying information about your firm, including its name, address, and contact details.
03
Proceed to Section 2: In Section 2, provide information about your firm's investment advisory services, including the types of clients you serve, the types of advisory services you offer, and any related fees or compensation arrangements.
04
Complete Section 3: Section 3 of the form asks for information about your firm's disciplinary history and conflicts of interest. Disclose any disciplinary events or actions taken against your firm, its employees, or affiliates. Additionally, disclose any potential conflicts of interest that may exist.
05
Fill out Section 4: This section focuses on your firm's financial information, including your balance sheet, income statement, and any financial condition information. Provide accurate and up-to-date financial details as required.
06
Review and sign: Carefully review all the information you've provided in the form. Make sure everything is accurate and complete. Once you are satisfied, sign and date the form accordingly.
Who needs our Form ADV Part?
01
Investment Advisors: Registered investment advisors (RIAs) are required to file Form ADV Part as per the regulations set forth by the U.S. Securities and Exchange Commission (SEC) or relevant state securities authorities.
02
Compliance Officers: Compliance officers or designated individuals in an RIA firm responsible for ensuring regulatory compliance may also need to understand and complete Form ADV Part.
03
Legal and Compliance Professionals: Attorneys and compliance professionals who assist RIAs in fulfilling their regulatory obligations should be familiar with Form ADV Part and its requirements.
Remember, it is crucial to consult with legal or compliance professionals for guidance specific to your firm and jurisdiction to ensure accurate and complete filing of Form ADV Part.
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What is our form adv part?
Our form adv part is a document filed with the Securities and Exchange Commission (SEC) by investment advisors.
Who is required to file our form adv part?
All registered investment advisors are required to file our form adv part.
How to fill out our form adv part?
Our form adv part must be filled out online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of our form adv part?
The purpose of our form adv part is to provide important information about the investment advisor, including services offered, fees charged, conflicts of interest, and disciplinary history.
What information must be reported on our form adv part?
Information such as assets under management, number of clients, types of clients, and compensation arrangements must be reported on our form adv part.
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