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Form ADV Part 2A Harbor Wealth Partners Cover Page Harbor Wealth Partners 9850 West point Drive, Suite 300 Indianapolis, IN 46256 (317) 579 4844 Websites: www.livewellsleepwell.com EMAIL CONTACT:
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How to fill out form adv part 2a
How to fill out Form ADV Part 2A:
01
Start by gathering all the necessary information: Before starting to fill out Form ADV Part 2A, you will need to gather information about your firm, such as its name, address, contact details, and registration number.
02
Provide a concise summary: The first section of Form ADV Part 2A requires you to provide a brief summary of your firm, including its history, the services it offers, and any key individuals involved in the firm's management.
03
Disclose key information: In this section, you will need to disclose information about your firm's fees, compensation, and potential conflicts of interest. Be thorough and transparent when providing this information, as it is essential for clients to have a clear understanding of your firm's practices.
04
Provide information about disciplinary history: If your firm or any of its key individuals have a disciplinary history, you must disclose it in this section. Be sure to include details about any legal or regulatory actions taken against your firm or its employees.
05
Describe your investment strategies: This section requires you to provide detailed information about your firm's investment strategies and the different types of investments you may recommend to clients. Make sure to clearly describe your methodology and the risks associated with each strategy.
06
Provide additional information as required: Depending on the nature of your firm's business, you may need to provide additional information in specific sections of Form ADV Part 2A. Ensure you carefully read and complete all relevant sections based on your firm's activities.
Who needs Form ADV Part 2A:
01
Registered Investment Advisers (RIAs): Any firm that meets the definition of an RIA must file Form ADV Part 2A. This includes firms that provide investment advice for compensation and have more than a certain number of clients or manage a specific amount of assets.
02
Broker-dealers: Broker-dealers who also provide investment advice must file Form ADV Part 2A. This is required even if investment advisory services are not the primary business activity of the firm.
03
Financial professionals: Individual financial professionals, such as investment advisers and financial planners, who provide personalized investment advice to clients, may also need to file Form ADV Part 2A.
Overall, any entity or individual engaged in providing investment advice to clients for compensation may need to complete and file Form ADV Part 2A. It is essential to consult the regulatory requirements and guidelines specific to your jurisdiction to determine if you are subject to this filing obligation.
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