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FORM ADV Uniform Application for Investment Adviser Registration Part II — Page 1 Name of Investment Adviser: Castle Asset Management, LLC Address: (Number and Street) 145 Marcus Blvd (City) Haulage

How to fill out form adv uniform application

How to fill out Form ADV uniform application:

1. Start by gathering all the necessary information and documents. You will need to provide details about your firm's ownership, history, and organization structure. This may include information about any controlling persons, partnerships, or subsidiaries.
2. Begin filling out Section 1A, which requires information about your firm's business and background. This section covers areas such as investment strategies, client types, assets under management, and any disciplinary history.
3. Move on to Section 1B, which focuses on the additional offices and other locations where your firm conducts advisory business. You will need to provide details about each location, including contact information and any associated brokers.
4. Proceed to Section 2A, which covers various types of investment services your firm provides. You will need to provide details about each service, such as whether you offer portfolio management or financial planning.
5. Complete Section 2B, which requires information about your firm's employees who provide investment advice. This includes details about their education, professional certifications, and any disciplinary history.
6. Next, fill out Section 3, which deals with your firm's disciplinary information. You will need to disclose any criminal or regulatory actions taken against your firm or any of its employees.
7. Move on to Section 4, which requires information about your firm's advisory affiliates. This includes any other entities under common control or ownership that are also engaged in advisory services.
8. Proceed to Section 5, which covers your firm's custody arrangements. You will need to provide details about how client assets are held and any safeguards in place to protect those assets.
9. Complete Section 6, which focuses on your firm's other business activities. This includes details about any business activities outside of providing investment advice, such as selling insurance or acting as a broker-dealer.
10. Finally, review the completed form for accuracy and completeness before submitting it to the appropriate regulatory authority.

Who needs Form ADV uniform application:

1. Investment advisors: Any firm or individual that provides investment advice for compensation, on a regular basis, and manages at least $25 million in assets must register with the Securities and Exchange Commission (SEC). This registration requires the completion of Form ADV uniform application.
2. State-registered advisors: If a firm manages less than $25 million in assets, they must register with the state securities authority in the state(s) where they provide advisory services. State-registered advisors also need to fill out Form ADV uniform application.
3. Compliance purposes: Even if a firm does not meet the asset threshold for SEC or state registration, they may still voluntarily complete Form ADV as a best practice for compliance purposes. This allows the firm to disclose important information about their business practices to clients and potential investors.

For pdfFiller’s FAQs

What is form adv uniform application?

Form ADV Uniform Application is a form that investment advisers must use to apply for registration with state securities authorities or the Securities and Exchange Commission (SEC).

Who is required to file form adv uniform application?

Investment advisers who meet certain criteria are required to file Form ADV Uniform Application with either state securities authorities or the SEC.

How to fill out form adv uniform application?

Form ADV Uniform Application can be filled out online through the Investment Adviser Registration Depository (IARD) system. The form requires information about the adviser's business practices, fees, conflicts of interest, and disciplinary history.

What is the purpose of form adv uniform application?

The purpose of Form ADV Uniform Application is to provide regulatory authorities and clients with important information about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history.

What information must be reported on form adv uniform application?

Form ADV Uniform Application requires information about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history, as well as information about the adviser's clients and assets under management.

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