Get the free Form ADV 2B - Cornerstone Investment Services

This brochure supplement provides information about Bennett Jay Bergman that supplements the Cornerstone Investment Services, LLC brochure. You should have received a copy of that brochure. Please

How to fill out form adv 2b

How to fill out Form ADV 2B:

1. Start by obtaining the necessary form. Form ADV 2B is used by investment advisers to provide information about their advisory affiliates. You can obtain the form from the Securities and Exchange Commission (SEC) website or by contacting your state securities regulator.
2. Begin by filling in the basic information. This includes providing your firm's name, address, and contact details. Make sure to accurately input this information as it is crucial for identification purposes.
3. Next, indicate whether your firm has any advisory affiliates. Advisory affiliates are individuals or entities that are controlled by or under common control with your firm. Specify their names, addresses, ownership percentages, and roles within the firm.
4. Include information about any disciplinary events involving your firm or its advisory affiliates. This may include legal or regulatory actions, civil suits, customer disputes, or other disciplinary matters. Provide details such as the nature of the event, the parties involved, the date, and any sanctions or penalties imposed.
5. Disclose any financial-related events that have occurred over the past ten years. This may include bankruptcy filings, unsatisfied judgments or liens, financial litigation, or other significant financial matters. Be sure to provide accurate and complete information for each event.
6. Consider whether your firm has any conflicts of interest that could impact your clients. Disclose any material conflicts of interest related to the services you offer, your compensation structure, or relationships with third parties. Describe how you mitigate or manage these conflicts to ensure client interests are protected.
7. Review all the information provided in the form for accuracy and completeness. Make any necessary corrections or additions before submitting it to the SEC or your state securities regulator.

Who needs Form ADV 2B:

1. Investment advisers: Form ADV 2B is specifically designed for investment advisers. If you are registered or seeking registration as an investment adviser with the SEC or a state securities regulator, you will typically be required to complete Form ADV 2B.
2. Firms with advisory affiliates: If your firm has any advisory affiliates, meaning individuals or entities that are controlled by or under common control with your firm, you will need to provide information about them using Form ADV 2B.
3. Compliance officers and legal professionals: Compliance officers and legal professionals involved in the registration process of investment advisers may need to familiarize themselves with Form ADV 2B to ensure accurate and complete disclosure of information.

Note: It is important to consult the specific regulations and requirements set forth by the SEC or your state securities regulator regarding the completion and submission of Form ADV 2B, as they may vary.

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