Get the free Form ADV - Part II - Chaney Financial Services, Inc.

FORM ADV Uniform Application for Investment Adviser Registration Part II Page 1 Name of Investment Adviser: Chaney Financial Services, Inc. Address: (Number and Street) 1241 North Hollis ton Ave.

How to fill out form adv - part

How to fill out Form ADV - Part:

1. Start by accessing the form: You can find Form ADV - Part on the website of the U.S. Securities and Exchange Commission (SEC). Visit their site and locate the form to download it.
2. Gather necessary information: Before filling out the form, collect all the relevant information required. This may include details about your firm's ownership, services provided, any disciplinary history, and financials among others. Ensure you have accurate and up-to-date information.
3. Begin with basic information: The form will ask for basic identification details about your firm, such as its name, address, phone number, and website. Fill in each required field accurately.
4. Provide details about your firm's ownership: Indicate whether your firm is a sole proprietorship, partnership, limited liability company (LLC), or corporation. If it is a partnership or LLC, you will need to provide additional details about the partners or members.
5. Describe your firm's services: Explain the types of advisory services your firm provides, such as investment management, financial planning, or consulting. Provide a brief description of each service offered.
6. Disclose any disciplinary history: If your firm or any of its employees have any disciplinary history, such as regulatory actions or criminal charges, you must disclose these details. Be sure to provide accurate information and explain the circumstances surrounding any incidents.
7. Provide financial information: The form requires you to provide financial information about your firm, such as assets under management (AUM) and annual revenue. This information helps the SEC assess your firm's size and financial stability.
8. Answer miscellaneous questions: The form may ask additional questions about your firm's operations and affiliations. These questions help the SEC understand your business structure better. Answer them accurately and provide any necessary explanations.
9. Attach required documents: Depending on your firm's specific circumstances, you may need to attach certain documents to support the information provided. These may include financial statements, agreements, or other disclosures.
10. Review and submit the form: Once you have completed all the required sections, review the form carefully to ensure accuracy. Double-check all details and make any necessary corrections. Once you are confident in the accuracy of your submission, submit the form to the SEC.

Who needs Form ADV - Part?

1. Investment advisory firms: Registered investment advisers and exempt reporting advisers are required to complete and file Form ADV - Part with the SEC. This form serves as a disclosure document to provide information about the firm's operations and business practices.
2. Securities and Exchange Commission (SEC): The SEC uses the information provided in Form ADV - Part to assess and monitor registered investment advisers and exempt reporting advisers. It helps the SEC understand the nature and scope of the firm's activities and identify any potential risks or compliance issues.
3. Current and potential clients: Form ADV - Part is made publicly available on the SEC's website, allowing current and potential clients to review a registered investment adviser's disclosure information. It helps clients make informed decisions about whether to engage the services of a particular firm.

For pdfFiller’s FAQs

What is form adv - part?

Form ADV Part 1 is the uniform form used by investment adviser firms to register with both the SEC and state securities authorities.

Who is required to file form adv - part?

Investment adviser firms registered with the SEC or state securities authorities are required to file Form ADV Part 1.

How to fill out form adv - part?

Form ADV Part 1 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv - part?

The purpose of form ADV Part 1 is to provide key information about an investment adviser firm including its business practices, conflicts of interest, and disciplinary history.

What information must be reported on form adv - part?

Form ADV Part 1 requires investment adviser firms to report information such as assets under management, client types, fees charged, and business operations.

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