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FORM ADV PART 2A Principled Wealth Advisors, LLC 100 East Recenter Blvd., Suite 810 Covington, KY 41011 (859)957-2737 principled wealth.net Item 1 Cover Page January 1, 2014, This Brochure provides

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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 about your investment advisory firm. This includes details about your firm's background, key personnel, services offered, and any potential conflicts of interest.

02

Section 1 of Form ADV Part 2A requires you to provide information about your firm's business, ownership, and affiliations. Make sure to accurately fill out all the fields related to these areas, including information on any disciplinary events.

03

In Section 2, you will need to provide details about your firm's investment strategies, fees and compensation, and any other relevant business practices. Be thorough and transparent when describing these aspects to provide a clear understanding to potential clients.

04

Section 3 focuses on your firm's disciplinary information. Here, you'll need to disclose any legal or regulatory actions taken against your firm or its key personnel. Ensure that you provide accurate and complete details about any past violations or sanctions.

05

Review your completed Form ADV Part 2A to ensure that all the information provided is accurate, clear, and reflective of your firm's current status. It's important to double-check all the details before submitting the form to avoid any potential issues.

Who needs Form ADV Part 2A:

01

Investment advisory firms registered with the U.S. Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A. This includes firms managing assets of $100 million or more.

02

State-registered investment advisory firms may also need to file Form ADV Part 2A, as state regulations may vary. It is essential to understand the specific requirements of the state(s) in which your firm operates to determine if filing is necessary.

03

Even if you are not currently required to file Form ADV Part 2A, it is recommended for firms to have this form readily available for potential clients. It serves as a valuable disclosure document that provides essential information about your firm's services, fees, and business practices.

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What is form adv part 2a?

Form ADV Part 2A is a document that provides information about the services offered by an investment advisor, as well as the fees they charge and their investment strategies.

Who is required to file form adv part 2a?

Investment advisors registered with the SEC 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 and potential clients with important information about an investment advisor's business practices, conflicts of interest, and fees.

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

Form ADV Part 2A requires investment advisors to disclose information about their services, fees, investment strategies, and potential conflicts of interest.

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