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Form ADV Part 2A SEC File No. 80163867 June 13, 2013, Hoover Financial Advisors, P.C. a Registered Investment Advisor SEC #80163867 112 Moores Road, Suite 100 Tavern, PA 19335 ×610× 6512777 www.petehoover.com
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How to fill out form adv part 2a
How to fill out Form ADV Part 2A:
01
Gather the necessary information: Before you begin filling out Form ADV Part 2A, make sure you have all the necessary information at hand. This includes details about your firm, such as its name, address, and contact information, as well as information about your clients, services offered, and any potential conflicts of interest.
02
Begin with section 1: The first section of Form ADV Part 2A provides general information about your firm. This includes details about your ownership structure, any related persons, and whether you are publicly traded. Carefully fill out each field, ensuring accuracy and completeness.
03
Move on to section 2: Section 2 focuses on your firm's investment strategies and methods of analysis. Here you need to describe your approach to managing client accounts, your investment philosophy, and any unique strategies or techniques you employ. Be thorough yet concise in your explanations.
04
Complete section 3: In this section, you should disclose any disciplinary events or legal proceedings involving your firm or its employees. Take the time to provide accurate details about any regulatory sanctions, criminal charges, or other significant events that may impact your firm's reputation.
05
Proceed to section 4: Section 4 of Form ADV Part 2A requires you to detail your firm's services, fees, and compensation arrangements. Provide clear and transparent information about the types of services you offer, the fees charged, and how clients can terminate agreements. If there are any conflicts of interest involving fees or compensation, be sure to disclose them.
06
Finish with section 5: The final section of Form ADV Part 2A focuses on your firm's educational and professional background. Provide relevant details about your qualifications, certifications, and any affiliations with other financial institutions.
Who needs Form ADV Part 2A?
Form ADV Part 2A is required to be filed by registered investment advisers (RIAs) with the Securities and Exchange Commission (SEC) or state securities authorities. RIAs who manage more than $25 million in assets must file with the SEC, while those managing less should file with state authorities. This form is essential for providing important information about the adviser's business practices, services, fees, and potential conflicts of interest to clients and regulatory authorities. It helps promote transparency and investor protection in the financial advisory industry.
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What is form adv part 2a?
Form ADV Part 2A is a form that registered investment advisers (RIAs) are required to file with the Securities and Exchange Commission (SEC) or state securities regulators. It provides detailed information about the adviser, their business practices, fees, conflicts of interest, and disciplinary history.
Who is required to file form adv part 2a?
Registered investment advisers (RIAs) are required to file Form ADV Part 2A with either the Securities and Exchange Commission (SEC) or state securities regulators.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. It requires detailed information about the adviser's business practices, fees, conflicts of interest, and disciplinary history.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients and regulators with detailed information about an investment adviser's business practices, fees, conflicts of interest, and disciplinary history.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires investment advisers to report information about their business practices, fees, conflicts of interest, disciplinary history, and other relevant information.
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