Get the free FORM ADV PART 2 08052013

FORMADVPART2Brochure GuardianWealthManagement, Inc. 311SWWaterStreet Suite210 Peoria,IL61602 309×6921460 Email:info gwmanagers.com Website:www.gwmanagers.com August5,2013 ThisbrochureprovidesinformationaboutthequalificationsandbusinesspracticesofGuardian

How to fill out form adv part 2

How to fill out Form ADV Part 2:

1. Start by gathering all the necessary information. You will need details about your investment advisory firm, such as its name, address, and contact information. Additionally, gather information about your assets under management, services provided, and fee structure.
2. Provide a brief description of your firm's business, including its history, key personnel, and any conflicts of interest that may exist. It is essential to disclose any affiliations or relationships that could potentially influence your advisory services.
3. Outline your firm's investment strategies and the types of clients you typically serve. This includes explaining the investment approach, risk tolerance, and any specific assets or securities your firm specializes in. Additionally, disclose any material changes in your investment strategies.
4. Discuss the risks involved with your firm's investment strategies. This should cover both general market risks and any specific risks associated with your investment approach or client base. It is crucial to provide clear and concise information to help potential clients understand the risks involved.
5. Detail your firm's fee structure and any other compensation arrangements. Provide a comprehensive breakdown of all fees and expenses that clients may incur, including management fees, performance-based fees, and other charges. Be transparent about any conflicts of interest that may arise from your fee structure.
6. Disclose any disciplinary history or legal proceedings related to your firm or key personnel. This includes any regulatory sanctions, civil litigation, or criminal charges that could potentially impact your firm's operations or the services offered.

Who needs Form ADV Part 2:

1. Investment advisory firms registered with the Securities and Exchange Commission (SEC) are required to complete Form ADV Part 2. This applies to firms managing at least $100 million in assets or firms that provide services in states where they are not required to register with state securities authorities.
2. Registered investment advisors (RIAs) who are not eligible to use the SEC registration exemption (e.g., managing less than $100 million in assets) must instead file Form ADV Part 2 with the appropriate state securities authorities.
3. The purpose of Form ADV Part 2 is to provide essential information to current and prospective clients of the investment advisory firm. By completing this form, investment advisors offer full disclosure about their services, fees, and potential conflicts of interest, allowing clients to make informed decisions.

For pdfFiller’s FAQs

What is form adv part 2?

Form ADV Part 2 is a document that provides important information about an investment advisor, including services offered, fees, disciplinary history, and conflicts of interest.

Who is required to file form adv part 2?

Investment advisors registered with the SEC are required to file Form ADV Part 2.

How to fill out form adv part 2?

Form ADV Part 2 must be filed electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2?

The purpose of Form ADV Part 2 is to provide clients and potential clients with key information about an investment advisor to help them make informed decisions.

What information must be reported on form adv part 2?

Form ADV Part 2 requires information about an investment advisor's business practices, conflicts of interest, disciplinary history, fees, and more.

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