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LAPD Views All 5/12/14, 8:43 PM FORM ADV OMB: 32350049 UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: GRADS AVE Advisers IARD/CRD Number: 170028 Rev. 10/2012 WARNING:

How to fill out form adv omb 3235-0049

How to Fill Out Form ADV OMB 3235-0049:

1. Review the form instructions: Before completing Form ADV OMB 3235-0049, it is essential to go through the instructions provided by the Securities and Exchange Commission (SEC). These instructions provide detailed guidance on how to complete each section of the form accurately and thoroughly.
2. Gather necessary information: Collect all the relevant information required to complete the form. This may include details about your firm, its business activities, investment strategies, assets under management, and any disciplinary history. Ensure that you have accurate records and documents to support the information you provide.
3. Provide basic identifying information: Begin by filling out the basic identifying information about your firm, such as its name, address, contact details, and the type of organization (e.g., partnership, sole proprietorship, or corporation). Include any relevant identifying numbers or registrations, such as your SEC file number or Central Index Key (CIK) number.
4. Complete Part 1 of Form ADV: Part 1 of the form focuses on obtaining information about your firm's business activities and your financial industry experience. It covers aspects such as ownership, control, types of clients, services provided, fees charged, and affiliations. Answer all the questions accurately and provide any necessary explanations or attachments as required.
5. Complete Part 2 of Form ADV: Part 2 involves providing specific details about your firm's investment advisory services, personnel, and any potential conflicts of interest. This section requires you to describe your firm's investment strategies, disclose any disciplinary history, and outline the background and qualifications of key personnel. Ensure that you provide comprehensive and transparent information to meet the SEC's requirements.
6. Understand the reporting thresholds: Familiarize yourself with the reporting thresholds for filing Form ADV OMB 3235-0049. The instructions will specify whether you need to complete all sections of the form or only specific sections based on your firm's assets under management or other criteria.
7. Review and double-check: Once you have completed all sections of the form, carefully review the information provided. Ensure accuracy, consistency, and clarity throughout the form. Double-check all figures, calculations, and supporting documentation to avoid any errors or omissions.

Who Needs Form ADV OMB 3235-0049:

1. Registered Investment Advisers (RIAs): Form ADV OMB 3235-0049 is primarily required for RIAs who are registered with the Securities and Exchange Commission (SEC) or applicable state securities authorities. RIAs are obligated to provide information on their advisory business, including their investment strategies, client profiles, and potential conflicts of interest.
2. Exempt Reporting Advisers (ERAs): Some advisers may qualify for exemptions from SEC registration but are still required to report certain information through Form ADV OMB 3235-0049. ERAs typically include advisers with fewer assets under management or those operating in specific jurisdictions.
3. Regulatory authorities and investors: Form ADV OMB 3235-0049 serves as a crucial source of information for regulatory authorities, allowing them to monitor and supervise investment advisers effectively. Additionally, the form helps potential clients or investors evaluate and make informed decisions about engaging the services of a particular adviser.

Note: It is essential to consult the official instructions and legal counsel when completing Form ADV OMB 3235-0049 to ensure compliance with all applicable regulations and requirements.

For pdfFiller’s FAQs

What is form adv omb 3235-0049?

Form ADV OMB 3235-0049 is a form that must be filed by investment advisers with the Securities and Exchange Commission (SEC).

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

Investment advisers who meet certain criteria must file Form ADV OMB 3235-0049 with the SEC.

How to fill out form adv omb 3235-0049?

Form ADV OMB 3235-0049 can be filled out online through the Investment Adviser Registration Depository (IARD) system.

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

The purpose of Form ADV OMB 3235-0049 is to provide the SEC with information about the investment adviser's business and operations.

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

Form ADV OMB 3235-0049 requires information about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history.

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