Get the free Our Form ADV is available upon request 1/30/2009 ... - AdvisorSquare
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4900 SW Meadows Rd, Suite 100 Lake Oswego, OR 97035 (503) 274-4224 ? (800) 898-4224 (503) 221-4483 Fax ? www.sfainc.us Client 1: Social Sec. #: Date of Birth: Email: Client 2: Social Sec. #: Date
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How to fill out our Form ADV:
01
Start by carefully reading the instructions provided along with the Form ADV. This will help you understand the purpose of the form and the specific information required.
02
Begin filling out the Form ADV by providing your firm's identifying information, such as the name, address, and contact details. Ensure that all the provided information is accurate and up to date.
03
Next, you will need to provide details about your firm's ownership structure. This includes information about the individuals or entities that have control over your firm, as well as any related persons or entities.
04
Provide information about your firm's advisory business. This includes details about the types of clients you serve, the services you offer, and any specific investment strategies employed.
05
Disclose any conflicts of interest that may exist within your firm. This includes any financial or personal relationships that could potentially impact your ability to provide objective and unbiased advice to your clients.
06
Provide information about your firm's disciplinary history, if applicable. This includes any regulatory or legal actions taken against your firm or its employees in the past.
07
Finally, review the completed Form ADV thoroughly to ensure accuracy and completeness. It's crucial to verify that all the required sections and disclosures have been properly addressed.
Who needs our Form ADV:
01
Investment Advisers: Individuals or firms engaged in providing investment advice or managing investment portfolios for clients. They are required by the Securities and Exchange Commission (SEC) to file Form ADV.
02
Registered Investment Adviser (RIA) Firms: Firms operating as investment advisers and registered with the SEC or state securities authorities must complete and file Form ADV.
03
Compliance Officers: Compliance officers responsible for ensuring regulatory compliance within an investment advisory firm must have a thorough understanding of Form ADV and its requirements. They may need to assist in its completion and filing.
Note: The specific filing requirements may vary based on the size and type of investment advisory business, as well as the regulatory jurisdiction (SEC or state). It is important to consult the appropriate regulatory authority or legal counsel for accurate guidance.
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What is our form adv is?
Our form adv is a document required to be filed by investment advisors with the Securities and Exchange Commission (SEC) or state securities regulators.
Who is required to file our form adv is?
Investment advisors who meet certain criteria set by the SEC or state securities regulators are required to file our form adv.
How to fill out our form adv is?
Our form adv can be filled out online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of our form adv is?
The purpose of our form adv is to provide critical information about an investment advisor's business practices to regulatory authorities and clients.
What information must be reported on our form adv is?
Information such as assets under management, fees charged, conflicts of interest, disciplinary history, and key personnel must be reported on our form adv.
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