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FORM ADV Uniform Application for Investment Adviser Registration Part II Page 1 Name of Investment Adviser: Castle Financial Advisers, LLC Address: (Number and Street) 145 Marcus Blvd. (City) Haulage
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How to fill out form adv uniform application
How to fill out Form ADV uniform application:
01
Gather all necessary information: Before starting to fill out the Form ADV uniform application, make sure you have all the necessary information at hand. This includes details about your firm's ownership, services offered, fees charged, and any disciplinary history.
02
Complete Section 1: Begin by providing basic information about your firm, such as its legal name, address, and contact details. You'll also need to disclose any other business activities your firm may be engaged in.
03
Fill out Section 2: In this section, you'll need to provide information about the types of advisory services you offer, including details about investment strategies, client types, and minimum account size requirements.
04
Complete Section 3: This section focuses on your firm's fees and compensation structure. You'll need to disclose both direct and indirect compensation, including any performance-based fees.
05
Fill out Section 4: Here, you'll need to disclose any disciplinary history or legal proceedings involving your firm or its key personnel. Provide accurate and detailed information about any regulatory actions, criminal charges, or civil lawsuits.
06
Complete Section 5: In this section, you'll need to disclose any conflicts of interest your firm may have. This includes relationships with related parties, potential conflicts arising from compensation arrangements, and other material conflicts.
07
Submit required attachments: Along with the Form ADV uniform application, you may need to include additional attachments depending on your firm's specific circumstances. These may include brochures, contracts, or other supporting documentation.
Who needs Form ADV uniform application?
01
Registered Investment Advisers (RIAs): Any firm that meets the definition of an RIA, as specified by the Securities and Exchange Commission (SEC) or state securities regulators, is required to file and maintain a Form ADV uniform application.
02
Hedge Fund Managers: If your firm manages hedge funds, it is generally required to file a Form ADV. This requirement applies to both domestic and foreign hedge fund managers, subject to certain exemptions.
03
Private Equity Fund Managers: Similarly, private equity fund managers are often required to file a Form ADV if they meet certain thresholds. Compliance obligations may vary depending on factors such as fund size, investor count, and regulatory jurisdiction.
04
Other Financial Professionals: In some cases, individuals or entities offering financial advisory services may also be required to file a Form ADV. This could include financial planners, certain consultants, and others engaged in providing investment advice for compensation.
Note: It's important to consult the specific rules and regulations applicable to your jurisdiction to determine if you need to file a Form ADV uniform application. Compliance requirements may vary depending on whether you are federally or state-registered, or exempted from registration.
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What is form adv uniform application?
Form ADV is a uniform application used by investment advisers to register with the SEC or state securities authorities.
Who is required to file form adv uniform application?
Investment advisers who meet certain criteria are required to file Form ADV with the SEC or state securities authorities.
How to fill out form adv uniform application?
Form ADV can be filled out online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv uniform application?
The purpose of Form ADV is to provide key information about an investment adviser to clients and regulators.
What information must be reported on form adv uniform application?
Information such as the adviser's services, fees, conflicts of interest, disciplinary history, and other key details must be reported on Form ADV.
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