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Firm Brochure (Part 2A of Form ADV) Alpha Investment Consulting Group, LLC 111 E Wilburn Ave, Suite 1600 Milwaukee, WI 53202 ×P× 4143194100 ×F× 4143194110 www.alphainvestment.com info alphainvestment.com
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How to fill out form adv part ii
How to fill out Form ADV Part II:
01
Start by gathering all the necessary information and documents such as your firm's name, address, and contact details.
02
Include a detailed description of your firm's investment advisory services, including the types of clients you serve and the strategies you employ.
03
Provide information on the educational and professional background of your firm's key personnel, including their experience and any disciplinary history.
04
Disclose any potential conflicts of interest that may exist between your firm and its clients.
05
Detail your firm's fee structure, including any additional charges or expenses that clients may incur.
06
Explain your firm's investment processes and strategies, outlining the risks involved and any limitations or restrictions that may apply.
07
Include any other relevant information, such as your firm's affiliations or participation in any industry organizations.
08
Review the completed Form ADV Part II for accuracy and completeness before submitting it to the appropriate regulatory authorities.
Who needs Form ADV Part II:
01
Registered Investment Advisers (RIAs) are required by the Securities and Exchange Commission (SEC) or state securities regulators to file Form ADV Part II.
02
It is essential for RIAs who provide investment advisory services to clients and manage more than $25 million in assets to complete and submit Form ADV Part II.
03
Even if an RIA manages less than $25 million in assets, state-level regulations may still require the filing of Form ADV Part II.
04
Additionally, RIAs seeking to register or renew their registration with regulatory authorities must complete and submit Form ADV Part II as part of the registration process.
05
Form ADV Part II is designed to provide investors with key information about an advisory firm's services, fees, and potential conflicts of interest, ensuring transparency and helping clients make informed investment decisions.
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What is form adv part ii?
Form ADV Part 2 is a regulatory disclosure document that provides information about an investment advisor.
Who is required to file form adv part ii?
Investment advisors registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2.
How to fill out form adv part ii?
Form ADV Part 2 can be filled out online through the Investment Advisor Registration Depository (IARD) system.
What is the purpose of form adv part ii?
The purpose of Form ADV Part 2 is to provide clients with important information about the investment advisor's business practices, conflicts of interest, and disciplinary history.
What information must be reported on form adv part ii?
Form ADV Part 2 requires information about the investment advisor's services, fees, methods of analysis, and disciplinary information.
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