Get the free Registered Investment Advisor Brochure (Form Part 2A/2B) - Updated: February 2016

Get Form

Show details

Registered Investment Advisor Brochure (Form Part 2A/2B) Updated: February 2016 201 Milwaukee Street, Suite 200 Denver, CO 80206 Email: info lgadvisors.com Website: www.lgadvisors.com Contact Person:

We are not affiliated with any brand or entity on this form

Get, Create, Make and Sign registered investment advisor brochure

Edit your registered investment advisor brochure form online

Type text, complete fillable fields, insert images, highlight or blackout data for discretion, add comments, and more.

Add your legally-binding signature

Draw or type your signature, upload a signature image, or capture it with your digital camera.

Share your form instantly

Email, fax, or share your registered investment advisor brochure form via URL. You can also download, print, or export forms to your preferred cloud storage service.

Editing registered investment advisor brochure online

Ease of Setup

pdfFiller User Ratings on G2

Ease of Use

pdfFiller User Ratings on G2

To use our professional PDF editor, follow these steps:

1

Log in to your account. Click on Start Free Trial and register a profile if you don't have one yet.

2

Upload a document. Select Add New on your Dashboard and transfer a file into the system in one of the following ways: by uploading it from your device or importing from the cloud, web, or internal mail. Then, click Start editing.

3

Edit registered investment advisor brochure. Text may be added and replaced, new objects can be included, pages can be rearranged, watermarks and page numbers can be added, and so on. When you're done editing, click Done and then go to the Documents tab to combine, divide, lock, or unlock the file.

4

Save your file. Select it from your records list. Then, click the right toolbar and select one of the various exporting options: save in numerous formats, download as PDF, email, or cloud.

Dealing with documents is always simple with pdfFiller. Try it right now

Uncompromising security for your PDF editing and eSignature needs

Your private information is safe with pdfFiller. We employ end-to-end encryption, secure cloud storage, and advanced access control to protect your documents and maintain regulatory compliance.

Learn more about security & compliance

How to fill out registered investment advisor brochure

How to fill out a registered investment advisor brochure:

01

Start by gathering all the necessary information about your investment advisory firm. This includes details about the firm's background, history, management team, and any affiliations or partnerships.

02

Clearly define your firm's investment philosophy and approach. This should include information about the types of investments your firm specializes in, the investment strategies employed, and any risk management techniques used.

03

Provide information about the services your firm offers. This can include details about portfolio management, financial planning, retirement planning, tax planning, and any other specialized services your firm provides.

04

Include information about the fees and compensation structure of your firm. This should be transparent and clearly explain how your firm charges for its services, whether it's a percentage of assets under management, a flat fee, or a combination of both.

05

Disclose any conflicts of interest that may exist within your firm. This includes any relationships or affiliations with other financial institutions, potential conflicts related to receiving commissions or fees from third-party providers, and any potential conflicts that may arise from personal investments or affiliations of employees.

06

Provide a clear and concise disclosure of your firm's disciplinary history, if applicable. This can include any regulatory actions, legal proceedings, or customer complaints that have been filed against your firm or its employees.

07

Include information about the qualifications and experience of your firm's key personnel. This should include details about the education, certifications, and professional experience of the advisors and portfolio managers working at your firm.

08

Ensure that your brochure is well-organized, easy to read, and visually appealing. Use headings, bullet points, and charts or graphs where necessary to convey information effectively.

Who needs a registered investment advisor brochure?

01

Individuals or institutions seeking professional investment advice and management.

02

Individuals or institutions looking to compare different investment advisory firms to make informed decisions.

03

Regulatory bodies or authorities that require investment advisors to provide a brochure to prospective clients as part of their compliance obligations.

04

Current clients of registered investment advisors who may want to review or refer back to the brochure for relevant information about the firm's services, fees, and investment approach.

Fill form : Try Risk Free

Rate the form

4.7

Satisfied

22 Votes

For pdfFiller’s FAQs

Below is a list of the most common customer questions. If you can’t find an answer to your question, please don’t hesitate to reach out to us.

How do I modify my registered investment advisor brochure in Gmail?

The pdfFiller Gmail add-on lets you create, modify, fill out, and sign registered investment advisor brochure and other documents directly in your email. Click here to get pdfFiller for Gmail. Eliminate tedious procedures and handle papers and eSignatures easily.

How do I fill out the registered investment advisor brochure form on my smartphone?

You can quickly make and fill out legal forms with the help of the pdfFiller app on your phone. Complete and sign registered investment advisor brochure and other documents on your mobile device using the application. If you want to learn more about how the PDF editor works, go to pdfFiller.com.

How do I edit registered investment advisor brochure on an iOS device?

Use the pdfFiller mobile app to create, edit, and share registered investment advisor brochure from your iOS device. Install it from the Apple Store in seconds. You can benefit from a free trial and choose a subscription that suits your needs.

What is registered investment advisor brochure?

A registered investment advisor brochure is a document that provides information about the services offered and fees charged by an investment advisor.

Who is required to file registered investment advisor brochure?

Registered investment advisors are required to file their brochure with the Securities and Exchange Commission (SEC) or state securities regulators.

How to fill out registered investment advisor brochure?

Registered investment advisors must provide information about their business practices, fees, conflicts of interest, and disciplinary history, among other things, in their brochure.

What is the purpose of registered investment advisor brochure?

The purpose of the registered investment advisor brochure is to help clients make informed decisions about hiring an investment advisor by providing transparency and relevant information.

What information must be reported on registered investment advisor brochure?

The brochure must include information about the advisor's services, fees, investment strategies, disciplinary history, conflicts of interest, and other relevant facts.

Fill out your registered investment advisor brochure online with pdfFiller!

pdfFiller is an end-to-end solution for managing, creating, and editing documents and forms in the cloud. Save time and hassle by preparing your tax forms online.

Get started now