Get the free Form ADV Part 1A - SEC.gov

View All Pages Page 1 of 29 FORM ADV OMB: 3235-0049 UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: KESSLER INVESTMENT GROUP, LLC IARD×CRD Number: 153696 Rev. 11×2010

How to fill out form adv part 1a

How to fill out form adv part 1a:

1. Begin by carefully reading the instructions provided with form adv part 1a. This will give you a clear understanding of the required information and how to fill it out correctly.
2. Collect all the necessary information and documents that are required to complete the form adv part 1a. This may include details about your firm, its owners, employees, affiliates, and the types of advisory services offered.
3. Start by providing basic identifying information about your firm, such as its name, address, telephone number, and website if applicable. Make sure to provide accurate and up-to-date information.
4. Include information about your firm’s ownership structure, including details about any control persons or entities. This could involve listing the names, titles, and ownership percentage of individuals or companies with control over your firm.
5. Specify the types of advisory services your firm provides. This could include investment management, financial planning, consulting, or other related services. Be as detailed and specific as possible.
6. Provide information about your firm’s clients, such as the number of clients, types of clients (individuals, institutions, etc.), and the total amount of assets managed for each category of clients.
7. Disclose any disciplinary history or legal actions against your firm, its employees, or its affiliates. This could involve providing details about any regulatory violations, criminal convictions, or civil actions that have occurred in the past.
8. Include information about your firm’s compensation structure and fee schedule. This could involve detailing how your firm charges and calculates fees, any conflicts of interest, and whether or not your firm receives compensation from third parties.
9. Make sure to review all the information provided in the form adv part 1a for accuracy and completeness. Double-check any calculations or figures to ensure they are correct.
10. Once you have completed the form adv part 1a, sign and date it as required. Keep a copy for your records and submit the form as instructed, whether it is through mail or electronically depending on the requirements.

Who needs form adv part 1a:

1. Registered Investment Advisers (RIAs): If you are an investment adviser that is required to register with either the Securities and Exchange Commission (SEC) or a state securities authority, you will need to fill out form adv part 1a.
2. Exempt Reporting Advisers (ERAs): Certain advisers who are exempt from SEC registration but still need to provide some information to the SEC fall under the ERA category. They must also complete form adv part 1a.
3. Transitioning advisers: If you are transitioning from SEC to state registration or vice versa, you may need to fill out form adv part 1a to provide the required information for the registration process.
4. Updating information: Existing registered or exempt reporting advisers may need to update their information periodically by filing an amended form adv part 1a when certain changes occur in their business, such as a change in ownership or services offered.

For pdfFiller’s FAQs

What is form adv part 1a?

Form ADV Part 1A is a required disclosure document that provides information about investment advisers.

Who is required to file form adv part 1a?

Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 1A.

How to fill out form adv part 1a?

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

What is the purpose of form adv part 1a?

The purpose of Form ADV Part 1A is to provide clients and regulators with information about an investment adviser's business practices, conflicts of interest, and other important details.

What information must be reported on form adv part 1a?

Information such as the adviser's business activities, ownership structure, disciplinary history, and any conflicts of interest must be reported on Form ADV Part 1A.

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