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Part 2A of Form ADV: Firm Brochure Item 1: Cover Page February 29, 2016 4511 North Times Ave. Suite 200 Tampa, FL 33614 www.sicklehunter.com Firm Contact: Travis Sickle Chief Compliance Officer This
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How to fill out form adv pt 2a
How to fill out Form ADV Part 2A:
01
Start by providing the required basic information in Section 1 of the form. This includes your firm's name, address, and contact information.
02
In Section 2, disclose any disciplinary events or legal actions involving your firm or its employees. Provide details such as the nature of the event, dates, and any sanctions imposed.
03
Move on to Section 3, where you'll need to provide details about your firm's business practices, including investment strategies, methods of analysis, and any additional services offered.
04
In Section 4, you'll need to disclose any conflicts of interest that may arise from your firm's business practices. Be specific and transparent about any potential conflicts that may impact your clients.
05
Section 5 requires you to disclose your firm's fee schedule, including any discounts, breakpoints, or performance-based fees. Provide clear information about your fee structure to ensure transparency.
06
In Section 6, outline your firm's educational or professional background. This includes details about the qualifications, experience, and credentials of key personnel within your firm.
07
Section 7 deals with your firm's disciplinary history. Provide details about any legal or disciplinary actions taken against your firm or its employees.
08
Finally, in Section 8, you'll need to disclose additional information about your firm's operations and any material changes that have occurred since your last filing.
Who needs Form ADV Part 2A:
01
Investment advisers registered with the Securities and Exchange Commission (SEC) or a state securities regulator are required to file Form ADV and its various parts, including Part 2A.
02
Form ADV Part 2A is primarily intended for firms providing investment advisory services to clients.
03
Investment advisers who manage over a certain threshold of assets are generally required to register with the SEC and, therefore, must fulfill the filing requirements, including Form ADV Part 2A.
Please note that this information is a general guide and it is recommended to refer to the official instructions and guidelines provided by the SEC or state securities regulator when filling out Form ADV Part 2A.
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What is form adv pt 2a?
Form ADV Part 2A is a disclosure document that investment advisers must provide to clients.
Who is required to file form adv pt 2a?
Investment advisers registered with the SEC or state securities authorities are required to file Form ADV Part 2A.
How to fill out form adv pt 2a?
Form ADV Part 2A can be filled out online through the IARD system with detailed information about the adviser's business practices, fees, conflicts of interest, and more.
What is the purpose of form adv pt 2a?
The purpose of Form ADV Part 2A is to provide clients with important information about an investment adviser's services, fees, conflicts of interest, and disciplinary history.
What information must be reported on form adv pt 2a?
Form ADV Part 2A requires information such as the adviser's services, fees, conflicts of interest, disciplinary history, and key personnel.
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