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LAPD View All Page 1 of 26 OMB: 32350049 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: ICN HOLDING IARD/CRD Number: 125761 Rev. 10/2012 WARNING: Complete

How to fill out form adv omb 3235-0049

How to fill out form adv omb 3235-0049:

1. Start by obtaining the form adv omb 3235-0049. You can download the form from the SEC's official website or request a copy from the SEC directly.
2. Begin by filling out the basic information section, which includes the name of the investment adviser, its address, phone number, and email address. Provide accurate and up-to-date information in this section.
3. Move on to the identification section, where you will need to provide details about the investment adviser's ownership structure, such as whether it is a sole proprietorship, partnership, corporation, or other entity type. Also, provide information about any related persons or entities.
4. Next, complete the form's sections on disciplinary information. This requires disclosing any legal or disciplinary actions taken against the investment adviser or its representatives in the past, including any criminal convictions or ongoing investigations. Be honest and thorough while providing this information.
5. Proceed to the section regarding the investment adviser's business practices, services offered, and client base. This includes detailing the types of services provided, the minimum investment requirement, the fee structure, and any material conflicts of interest that may exist. Disclose any affiliations or relationships that could potentially impact the adviser's ability to act in the best interest of its clients.
6. After that, move on to the compensation section, where you will need to disclose how the investment adviser is compensated for its services. Provide details about management fees, performance-based fees, and other compensation arrangements that may be in place.
7. Finally, complete the miscellaneous information section, which covers additional details such as any websites, social media platforms, regulatory affiliations, and contact information for the person responsible for answering questions about the form. Make sure to review all the information provided to ensure accuracy and completeness.

Who needs form adv omb 3235-0049:

1. Registered investment advisers: Individuals or firms engaged in the business of providing investment advice to clients and are registered with the Securities and Exchange Commission (SEC) or state securities authorities.
2. Exempt reporting advisers: Certain advisers who are exempt from full SEC registration but are required to file reports with the SEC. Exempt reporting advisers may include private fund advisers who manage funds below certain thresholds or advisers who solely advise venture capital funds.
3. Private fund advisers: Advisers who manage private funds, such as hedge funds, private equity funds, or other types of pooled investment vehicles. These advisers may be required to file form adv omb 3235-0049 to disclose certain information about their business practices and the funds they manage.

In summary, form adv omb 3235-0049 is necessary for registered investment advisers, exempt reporting advisers, and private fund advisers to disclose relevant information about their business practices, services, and potential conflicts of interest. Filling out the form requires providing accurate and comprehensive information in each designated section.

For pdfFiller’s FAQs

What is form adv omb 3235-0049?

Form ADV OMB 3235-0049 is a form that investment advisers are required to file with the Securities and Exchange Commission (SEC) as part of the registration process.

Who is required to file form adv omb 3235-0049?

Investment advisers who meet certain criteria, such as managing a certain amount of assets or providing investment advice for compensation, are required to file Form ADV OMB 3235-0049.

How to fill out form adv omb 3235-0049?

Form ADV OMB 3235-0049 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisors must provide information about their business practices, fees, conflicts of interest, and other relevant details.

What is the purpose of form adv omb 3235-0049?

The purpose of Form ADV OMB 3235-0049 is to provide the SEC and investors with important information about an investment adviser's business practices, enabling them to make informed decisions.

What information must be reported on form adv omb 3235-0049?

Form ADV OMB 3235-0049 requires investment advisers to report information such as assets under management, fee structure, ownership, affiliations, and disciplinary history.

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