Get the free FORM ADV Part 1 - Apex Capital Management

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: FIERY CAPITAL INC. CRD Number: 113638 OtherThanAnnual Amendment All

How to fill out form adv part 1

How to fill out form adv part 1

1. Gather all the required information and documents that are needed to fill out the form ADV Part 1.
2. Start by providing your firm's basic information such as name, address, phone number, and website.
3. Specify the type of advisory services your firm provides and any other related information.
4. Disclose any previous disciplinary events or legal actions taken against your firm or its employees.
5. Provide details about your firm's ownership structure and the people who control or manage it.
6. Include information about your firm's client base and the types of clients you serve.
7. Describe the fee schedule and compensation arrangements your firm uses.
8. Provide information about your firm's business practices, such as the use of solicitors or referral arrangements.
9. Disclose any conflicts of interest that may exist within your firm.
10. Include additional information required by the form ADV Part 1, such as the use of social media or custody of client assets.
11. Review the completed form ADV Part 1 for accuracy and completeness before submitting it.

Who needs form adv part 1?

1. Investment advisers who are registered with the U.S. Securities and Exchange Commission (SEC) or state securities authorities need to fill out form ADV Part 1.
2. Form ADV Part 1 is required to be filed by investment advisers to provide detailed information about their firm, its owners, clients, and business practices.
3. This form is used by regulatory authorities to evaluate and monitor investment advisers and ensure compliance with relevant rules and regulations.
4. The information provided in form ADV Part 1 helps investors make informed decisions when choosing an investment adviser.

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What is form adv part 1?

Form ADV Part 1 is a required disclosure document that provides key information about an investment advisor.

Who is required to file form adv part 1?

Investment advisors registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 1.

How to fill out form adv part 1?

Form ADV Part 1 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 1?

The purpose of Form ADV Part 1 is to provide information to clients, regulators, and the public about an investment advisor's business practices.

What information must be reported on form adv part 1?

Form ADV Part 1 requires information about an investment advisor's business activities, ownership, clients, employees, and any disciplinary history.