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NEGATE CAPITAL MANAGEMENT LLC One Sound Shore Drive Greenwich, CT 06830 Phone: (203× 6610700 Fax: (203× 6614005 HTTP://www.newgatecapital.com FORM ADV PART 2B BROCHURE SUPPLEMENT April 18, 2011,

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How to fill out newgate form adv part:

01

Review the instructions: Before beginning the process of filling out the newgate form adv part, it is important to carefully read and understand the instructions provided. This will ensure that you are aware of the requirements and guidelines for completing the form accurately.

02

Gather the necessary information: Collect all the relevant information required to complete the newgate form adv part. This may include details about your firm, its affiliations, employees, clients, investment strategies, assets under management, and other pertinent information. Have all this information readily available before starting the form.

03

Begin the form: Open the newgate form adv part and start by entering your firm's information in the appropriate sections. This may include the legal name, address, contact details, and other business-related information. Follow the instructions provided on the form to input accurate information.

04

Provide details about employees and affiliations: In this section, you will need to disclose information about your firm's employees and any affiliations it may have with other organizations. Make sure to provide accurate information about each individual and their roles within the firm. Similarly, if your firm has any affiliations or relationships with other entities, disclose those details as instructed.

05

Outline your investment strategies and services: This section of the newgate form adv part requires you to provide a comprehensive overview of your firm's investment strategies and the services it offers to clients. Be specific and detailed, outlining any investment styles, asset classes, or strategies that your firm employs. Additionally, mention any limitations or restrictions that may apply to your services.

06

Disclose information about your clients: Provide information about your firm's clients, including the types of clients you serve, the investment objectives, and the approximate amount of assets under management for each category. It is important to accurately represent the client base of your firm.

07

Submit supplementary documentation if required: Some sections of the newgate form adv part may require the submission of additional documentation or attachments. Ensure that you have all the necessary documents ready and organized in advance. Follow the instructions provided to submit any requested supplementary information.

Who needs newgate form adv part?

The newgate form adv part is necessary for investment advisers or firms registered with the Securities and Exchange Commission (SEC) as required under the Investment Advisers Act of 1940. It is an essential requirement for firms to provide accurate and up-to-date information about their business practices, affiliations, clients, and investment strategies. The form helps to ensure transparency and regulatory compliance within the investment advisory industry. Therefore, investment advisers or firms that are registered with the SEC are required to fill out the newgate form adv part.

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What is newgate form adv part?

Newgate Form ADV Part is a legal document that investment advisors registered with the Securities and Exchange Commission (SEC) are required to file. It provides information about the advisor's business, investment strategies, fee schedules, conflicts of interest, and more.

Who is required to file newgate form adv part?

Investment advisors registered with the Securities and Exchange Commission (SEC) are required to file Newgate Form ADV Part.

How to fill out newgate form adv part?

Newgate Form ADV Part can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisors must provide accurate and detailed information about their advisory business.

What is the purpose of newgate form adv part?

The purpose of Newgate Form ADV Part is to provide transparency to clients and regulators regarding an investment advisor's business practices, fees, services, and potential conflicts of interest.

What information must be reported on newgate form adv part?

Information that must be reported on Newgate Form ADV Part includes details about the advisor's business operations, ownership, assets under management, fees charged, disciplinary history, and more.

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