Get the free FORM ADV Part 2A FIRM BROCHURE - marylandcap.com

D I S C I P L I N E B AL AN CE PERSPECTIVE Maryland Capital Advisors FORM ADV Part 2A FIRM BROCHURE March 13, 2015, This Brochure provides information about the qualifications and business practices

How to fill out form adv part 2a

How to Fill Out Form ADV Part 2A:

1. Gather the necessary information: Before starting to fill out Form ADV Part 2A, collect all relevant information about your investment advisory firm. This includes details about the firm's employees, services offered, compensation arrangements, and any disciplinary history.
2. Begin with the Cover Page: The first section of Form ADV Part 2A is the cover page. Here, you will need to provide basic information about your firm, such as its name, address, and contact details. Additionally, you will be required to disclose the firm's website address, social media profiles, and other relevant online platforms.
3. Describe your business: In the second section, you will need to provide a brief description of your firm's business. Explain the types of services you offer, your target clients, and any specialization or expertise your firm possesses.
4. Disclose any disciplinary history: If your firm has any disciplinary history, such as regulatory actions, criminal charges, or civil lawsuits, you need to disclose this information in the next section. Be sure to provide accurate details about each event, including the date, nature of the violation, and any sanctions imposed.
5. Discuss your fees and compensation: This section requires you to outline your firm's fee structure, including any fees charged for specific services or products. Additionally, you must disclose any compensation arrangements you have with third parties, such as referral fees or revenue-sharing agreements.
6. Provide information about your conflicts of interest: In this section, you will need to disclose any conflicts of interest that your firm may have. This includes situations where your firm or its employees have a financial interest that could potentially impact their ability to act in the client's best interests.
7. Describe your educational and business background: Provide details about the educational backgrounds, business experience, and qualifications of key personnel in your firm, including the firm's owners, officers, and investment professionals. Include information about any professional designations or certifications they hold.
8. Answer additional questions: The last section of Form ADV Part 2A includes a series of additional questions that may require you to provide more specific information about your firm's policies, procedures, and potential risks. Answer these questions accurately and comprehensively.

Who needs Form ADV Part 2A?

Form ADV Part 2A is required to be filled out by investment advisors registered with the U.S. Securities and Exchange Commission (SEC) or state securities authorities. Under the Investment Advisers Act of 1940, any firm managing at least $25 million in assets must register with the SEC, while firms managing smaller amounts generally register with state securities authorities.

The purpose of the form is to provide clients and potential clients with crucial information about the investment advisory firm, including its services, fees, conflicts of interest, disciplinary history, and key personnel. This transparency helps clients make informed decisions about whether to engage the services of a particular investment advisor.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a key component of the Form ADV filing required by the U.S. Securities and Exchange Commission (SEC) for investment advisors.

Who is required to file form adv part 2a?

Registered investment advisors are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out online through 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 with important information about an investment advisor's services, fees, disciplinary history, and conflicts of interest.

What information must be reported on form adv part 2a?

Information that must be reported on Form ADV Part 2A includes information about an investment advisor's services, fees, qualifications, disciplinary history, conflicts of interest, and other key business details.

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