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Form ADV Part 2A* Firm Brochure Item 1 Cover Page June 2015 235 Montgomery Street Suite 1050 San Francisco, CA 94104 Tel: (415× 3984363 or (800× 7862559 Fax: (415× 3986789 www.protectedinvestors.com
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How to fill out form adv part 2a
How to fill out Form ADV Part 2A:
01
Start by gathering all the necessary information. This includes details about your firm, such as its name, address, contact information, and ownership structure.
02
Next, provide a description of your firm's business, including the types of services offered and the clients you serve. Be sure to include any conflicts of interest that may exist.
03
Provide information about your firm's qualifications and experience. This can include details about the background and credentials of your key personnel, as well as any disciplinary history.
04
Disclose any fees or compensation arrangements charged by your firm. This should include both direct and indirect fees, as well as any potential conflicts of interest related to compensation.
05
Outline any material risks associated with your firm's investment strategies or services. This may include factors such as market risks, liquidity risks, or concentration risks.
06
Include any other pertinent information that is required by the form. This can include details about your firm's affiliations, any regulatory actions taken against your firm, or any additional disclosures that may be necessary.
Who needs Form ADV Part 2A:
01
Registered investment advisers: Form ADV Part 2A is required for all registered investment advisers. It is a document that provides important information to clients and prospective clients, and it must be filed with the Securities and Exchange Commission (SEC) or the applicable state securities regulator.
02
Clients and potential clients: Form ADV Part 2A is designed to provide transparency and help clients make informed decisions about whether to engage the services of an investment adviser. It gives clients access to critical information about the adviser's business practices, fees, and potential conflicts of interest.
03
Regulatory authorities: Form ADV Part 2A is used by regulatory authorities to monitor and oversee investment advisers. It helps regulators ensure that advisers are providing accurate and complete information to clients, and it helps them identify any potential regulatory issues or concerns.
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What is form adv part 2a?
Form ADV Part 2A is a form that must be filed by investment advisers with the Securities and Exchange Commission (SEC). It is also known as the brochure.
Who is required to file form adv part 2a?
Investment advisers who are registered with the SEC are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out electronically on the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients and potential clients with important information about the investment adviser's business practices, conflicts of interest, and fees.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires information about the adviser's education, business practices, disciplinary history, and conflicts of interest.
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