Get the free 2013 Form ADV Part 2 - TELF

Firm Brochure Item 1 ? Cover Page Miles Capital, Inc. 1415 28th St. Suite 200 515-453-8400 Miles-Capital.com March 29, 2013, This brochure provides information about the qualifications and business

How to fill out 2013 form adv part

How to fill out 2013 Form ADV Part:

1. Gather necessary information: Collect all relevant information about your registered investment advisor (RIA) firm, including its name, address, contact details, and the names of those involved in managing the firm.
2. Provide background information: Fill out the required sections that ask about the history and background of your RIA firm. This may include detailing any disciplinary actions or legal proceedings involving the firm or its personnel.
3. Describe your advisory business: Explain the nature and scope of your advisory services. This includes information such as the types of clients you serve, the strategies you employ, and any conflicts of interest that may exist.
4. Disclose fee information: Outline how you charge fees to clients and describe any additional compensation or remuneration you receive as a result of your advisory services.
5. Provide additional disclosure: Disclose any affiliations, partnerships, or business arrangements that may pose potential conflicts of interest or could impact the advice you provide to clients.
6. Answer regulatory-specific questions: Respond to various regulatory questions related to your RIA firm's compliance program, custody practices, marketing practices, and other relevant areas.
7. Review and attest: Carefully review the completed form, ensuring that all the information provided is accurate and up to date. Sign and date the form to attest to its accuracy.

Who needs 2013 Form ADV Part:

1. Registered Investment Advisor (RIA) firms: Any RIA firm registered with the Securities and Exchange Commission (SEC) or state securities authorities is required to file Form ADV Part. This includes firms providing investment advice for compensation.
2. Compliance officers and legal staff: Compliance officers and legal staff at RIA firms are responsible for ensuring the accurate completion and submission of Form ADV Part. They play a crucial role in gathering the required information and ensuring regulatory compliance.
3. Regulatory authorities: Form ADV Part is a regulatory disclosure document that helps regulatory authorities, such as the SEC, monitor and oversee the activities of RIA firms. It provides important information about an RIA firm's structure, operations, and potential conflicts of interest.

Please note that this information is specifically relevant for the 2013 version of Form ADV Part. It is essential to consult the latest version and regulatory guidelines to ensure accurate and up-to-date compliance.

For pdfFiller’s FAQs

What is form adv part 2?

Form ADV Part 2 is a disclosure document required to be filed by certain investment advisers with the Securities and Exchange Commission (SEC) and state securities authorities.

Who is required to file form adv part 2?

Registered investment advisers (RIAs) and exempt reporting advisers (ERAs) are required to file Form ADV Part 2.

How to fill out form adv part 2?

Form ADV Part 2 should be filled out by providing all relevant information about the investment adviser's business practices, fees, conflicts of interest, disciplinary history, and other required disclosures.

What is the purpose of form adv part 2?

The purpose of Form ADV Part 2 is to provide potential clients and investors with important information about an investment adviser's business practices, fees, conflicts of interest, disciplinary history, and other relevant information to make informed decisions.

What information must be reported on form adv part 2?

Form ADV Part 2 requires reporting of information about an investment adviser's business practices, fees, conflicts of interest, disciplinary history, and other relevant disclosures.

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