Get the free Form ADV Part 1A - Broad Run Investment Management, LLC

FORM ADV UNIFORMAPPLICATIONFORINVESTMENTADVISERREGISTRATIONANDREPORTBY EXEMPTREPORTINGADVISERS PrimaryBusinessName:BROADRUNINVESTMENTMANAGEMENT, Renumber:165067 LLC AnnualAmendmentAllSections Rev.10×2012

How to fill out form adv part 1a

How to fill out form adv part 1a:

1. Start by obtaining the necessary form adv part 1a from the Securities and Exchange Commission (SEC) website. The form is available in a fillable PDF format.
2. Begin by entering the basic firm information, including the name, address, phone number, and email address. Provide any relevant website addresses as well.
3. Next, disclose the organization structure of the firm. This includes identifying whether the firm operates as an individual or a partnership, corporation, or other legal entity.
4. Provide details about the firm's ownership. Specify the percentage of ownership held by each individual or entity, including any minority owners.
5. Disclose the firm's affiliations by listing all related entities and describing the nature of the relationship. This includes any individuals or entities that have control or influence over the firm's operations or investment decisions.
6. Detail the firm's other business activities and specify any services or products offered outside of investment advisory services.
7. Provide information about the firm's financial industry affiliations, such as whether it is a member of FINRA or a state insurance regulatory authority.
8. Describe the firm's advisory business, including the types of clients it serves, the assets under management, and the investment strategies employed.
9. Disclose any disciplinary events or legal proceedings involving the firm or its associated individuals. This includes any criminal convictions, regulatory sanctions, or civil lawsuits.
10. Finally, review the completed form adv part 1a for accuracy and make any necessary amendments before submitting it to the SEC.

Who needs form adv part 1a:

1. Registered investment advisers (RIAs) are required to file form adv part 1a with the SEC or the state securities regulator, depending on their level of assets under management. The form provides crucial information about the RIA's business practices, disciplinary history, and potential conflicts of interest.
2. Compliance with form adv part 1a is mandatory for RIAs to establish transparency and enable regulatory oversight. It helps in safeguarding investors and ensuring fair and honest practices in the financial industry.
3. Even if an RIA meets the requirements for exemption from SEC registration, they may still need to file form adv part 1a with the state securities regulator to comply with local regulations. It is important to consult the regulatory guidelines specific to the jurisdiction in which the RIA operates to determine the filing requirements.

For pdfFiller’s FAQs

What is form adv part 1a?

Form ADV Part 1A is a registration form that investment advisors must file with the Securities and Exchange Commission (SEC) or state securities regulators.

Who is required to file form adv part 1a?

Investment advisors who manage more than $100 million in assets must file Form ADV Part 1A with the SEC. Advisors who manage less than $100 million in assets must file with state regulators.

How to fill out form adv part 1a?

Form ADV Part 1A requires investment advisors to provide information about their business practices, ownership structure, and any disciplinary history.

What is the purpose of form adv part 1a?

The purpose of Form ADV Part 1A is to provide clients and regulators with key information about an investment advisor's business.

What information must be reported on form adv part 1a?

Information that must be reported on Form ADV Part 1A includes the advisor's business model, fee structure, conflicts of interest, and any legal or disciplinary events.

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