Get the free 12B - ADV Part 2-A

Form ADV Part 2A, Item 1 W. Wall and Company, Inc. 501 College Street Suite B Asheville, North Carolina 28801 Phone: 8286519617 Fax: 8286518101 Website: www.wallco.com March 25, 2015, FORM ADV PART

How to fill out 12b - adv part

How to fill out 12b - adv part?

1. Start by carefully reading the instructions provided on the form. This will help you understand the requirements and ensure that you provide accurate and complete information.
2. Begin by providing your firm's name, as well as any other identifying information requested on the form. This may include your firm's Central Registration Depository (CRD) number, if applicable.
3. Provide your firm's address, including the street, city, state, and zip code. Make sure to double-check the accuracy of this information before submitting the form.
4. The 12b - adv part form will typically ask for details about your firm's business. This includes information about your investment strategies, the types of clients you serve, and any affiliations or relationships that may impact your services.
5. Be prepared to provide information about your firm's employees, including their names, titles, and roles within the organization. This helps regulators understand the structure and staffing of your firm.
6. Consider any legal or regulatory events that may have occurred in the past. The 12b - adv part form usually requires disclosure of any disciplinary actions, bankruptcies, or civil proceedings involving your firm or its employees.
7. Review and verify all the information provided in the form for accuracy. Any errors or omissions can lead to delays in processing or potential regulatory issues.

Who needs 12b - adv part?

1. Registered investment advisers are typically required to file the 12b - adv part form. This includes investment advisory firms that provide advice on securities and manage client assets.
2. Investment advisers who are required to register with the Securities and Exchange Commission (SEC) or state regulatory authorities may need to file this form as part of their registration process.
3. The 12b - adv part form is used to provide key information about the registered investment adviser's business practices, services offered, and any potential conflicts of interest. This information helps regulators evaluate the adviser's operations and protect investors.

For pdfFiller’s FAQs

What is 12b - adv part?

12b-adv part refers to the specific part of the SEC Form ADV that must be completed by investment advisers.

Who is required to file 12b - adv part?

Investment advisers registered with the SEC are required to file Form ADV which includes Part 2B, also known as 12b-adv part.

How to fill out 12b - adv part?

To fill out 12b-adv part, investment advisers must provide detailed information about their services, fees, compensation, business practices, and any potential conflicts of interest.

What is the purpose of 12b - adv part?

The purpose of 12b-adv part is to provide clients and potential clients with important information about the investment adviser's business practices, allowing them to make informed decisions.

What information must be reported on 12b - adv part?

Information such as services offered, fees charged, disciplinary history, conflicts of interest, and other key details about the investment adviser's business must be reported on 12b-adv part.

How can I edit 12b - adv part from Google Drive?

By integrating pdfFiller with Google Docs, you can streamline your document workflows and produce fillable forms that can be stored directly in Google Drive. Using the connection, you will be able to create, change, and eSign documents, including 12b - adv part, all without having to leave Google Drive. Add pdfFiller's features to Google Drive and you'll be able to handle your documents more effectively from any device with an internet connection.

Can I sign the 12b - adv part electronically in Chrome?

Yes. With pdfFiller for Chrome, you can eSign documents and utilize the PDF editor all in one spot. Create a legally enforceable eSignature by sketching, typing, or uploading a handwritten signature image. You may eSign your 12b - adv part in seconds.

How do I complete 12b - adv part on an Android device?

On an Android device, use the pdfFiller mobile app to finish your 12b - adv part. The program allows you to execute all necessary document management operations, such as adding, editing, and removing text, signing, annotating, and more. You only need a smartphone and an internet connection.