Get the free Form ADV - RDKStrategies.com

RDS Strategies, LLC 100 West Road, Suite 300 Towson, MD 21204 (410) 970-6111 www.rdkstrategies.com May 16, 2012, Item 1 Cover Page Form ADV, Part 2: our Disclosure Brochure or Brochure as required

How to fill out form adv - rdkstrategiescom

How to fill out Form ADV - rdkstrategiescom:

1. Start by downloading Form ADV from the rdkstrategiescom website. This form is required to be filled out by certain investment advisors.
2. Begin by providing general information about your firm, including its legal name, any other names it operates under, and its address. This section will also ask for information about your firm's contact person.
3. Move on to the section labeled "Items 1-5." Here, you will need to provide information about your firm's advisory business, including details about the types of clients you serve, the services you offer, and any affiliations with other financial institutions.
4. Proceed to the section labeled "Items 6-13." This section focuses on information related to your firm's employees, including their background and qualifications. You will need to provide details about your key personnel, such as their education, work experience, and any professional certifications they hold.
5. Continue to the section labeled "Items 14-22." Here, you will be required to disclose information about your firm's business practices, such as your fee structure, potential conflicts of interest, and any legal or disciplinary events that have occurred.
6. The next section, labeled "Schedules," consists of additional forms that may be required depending on your firm's specific circumstances. Some common schedules include Schedule A (for wrap fee programs) and Schedule D (for certain types of private funds).
7. Complete any necessary exhibits that are relevant to your firm. Exhibits are additional documents that may be required to support the information provided in the main form.
8. Once you have filled out all the required sections and attached any necessary schedules and exhibits, review the form thoroughly for accuracy and completeness.
9. Sign and date the form as required, indicating your agreement with the information provided. Keep a copy of the completed form for your records.

Who needs Form ADV - rdkstrategiescom:

1. Investment advisors who are required to register with the Securities and Exchange Commission (SEC) or with state securities authorities need to fill out Form ADV.
2. Form ADV is typically required for investment advisors who manage more than $25 million in assets.
3. Investment advisors who fall below the $25 million threshold but are required to register with state securities authorities may also need to fill out Form ADV.

In conclusion, filling out Form ADV - rdkstrategiescom involves providing detailed information about your firm's advisory business, employees, business practices, and any necessary schedules and exhibits. It is mandatory for certain investment advisors who are required to register with the SEC or state securities authorities.

For pdfFiller’s FAQs

What is form adv - rdkstrategiescom?

Form ADV is a form that investment advisers must file with the Securities and Exchange Commission (SEC) and state securities authorities. It contains information about the adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events.

Who is required to file form adv - rdkstrategiescom?

Investment advisers who meet certain criteria are required to file Form ADV with the SEC or state securities authorities. This includes advisers with assets under management above a certain threshold.

How to fill out form adv - rdkstrategiescom?

Form ADV can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisers must provide accurate and up-to-date information about their business and practices.

What is the purpose of form adv - rdkstrategiescom?

The purpose of Form ADV is to provide important information to the SEC and investors about an investment adviser's business, practices, and potential conflicts of interest. This helps ensure transparency and investor protection.

What information must be reported on form adv - rdkstrategiescom?

Information that must be reported on Form ADV includes details about the adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events or conflicts of interest.

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