Get the free Part II ADV Revised 3-30-10 - Confluence Investment Management

Form ADV Part II Disclosure Document Item 1 Cover Page Confluence Investment Management LLC 349 Marshall Avenue, STE 302 Saint Louis, MO 63119 3147435090 www.confluenceim.com March 30, 2011, This

How to fill out part ii adv revised

How to fill out Part II ADV Revised:

1. Start by reviewing the instructions provided with the form. Familiarize yourself with the requirements and any supporting documentation needed to complete Part II ADV Revised accurately.
2. Begin by entering the name and contact information of the adviser in the designated fields. Ensure that all details are up-to-date and accurate.
3. Move on to Section 1, where you will be required to provide information about the adviser's business and organizational structure. Fill in the necessary details, such as the legal name, state of formation, and principal office address.
4. Proceed to Section 2, which focuses on the adviser's ownership. Provide information about the ownership structure, including the names, titles, and percentages owned by each person or entity. If there are more than five owners, attach a separate sheet as instructed.
5. In Section 3, disclose any relevant information about the adviser's affiliates. This includes naming and providing details about affiliates and describing any material relationships with the adviser that may reasonably affect clients.
6. Section 4 requires the adviser to disclose any disciplinary events that have occurred within the past ten years. Provide accurate information about any civil or criminal proceedings, regulatory actions, or customer complaints involving the adviser or its associated personnel.
7. Move on to Section 5, where the adviser must provide information about any financial industry affiliations. Disclose any membership in a self-regulatory organization or participation in another financial industry association.
8. Next, complete Section 6, which focuses on the qualifications and business practices of the adviser. Disclose any relevant certifications, educational backgrounds, and disciplinary information regarding supervised persons.
9. Finally, review and sign the form. Ensure that all information provided is accurate and complete. Keep a copy of the completed form for your records.

Who needs Part II ADV Revised?

1. Registered Investment Advisers (RIAs) in the United States are required to fill out Part II ADV Revised. This form provides important information to the Securities and Exchange Commission (SEC) and is a regulatory requirement.
2. Investment advisers who are applying for registration or seeking to amend their registration must complete Part II ADV Revised along with other required forms.
3. Clients and potential investors may also need to refer to Part II ADV Revised to gain insight into an adviser's business operations, ownership, disciplinary history, and qualifications. This can help them make informed decisions about working with or investing in the adviser.

For pdfFiller’s FAQs

What is part ii adv revised?

Part II of Form ADV Revised is a section of the Form ADV that requires investment advisers to provide additional information about their investment strategies, practices, and conflicts of interest.

Who is required to file part ii adv revised?

Investment advisers registered with the SEC are required to file Part II of Form ADV Revised.

How to fill out part ii adv revised?

Part II of Form ADV Revised can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of part ii adv revised?

The purpose of Part II of Form ADV Revised is to provide clients and prospective clients with important information about an investment adviser's business practices and potential conflicts of interest.

What information must be reported on part ii adv revised?

Information that must be reported on Part II of Form ADV Revised includes the adviser's services, fees, disciplinary history, and conflicts of interest.

How do I complete part ii adv revised online?

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