Get the free Form ADV Part 1 - Seafarer Funds

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: SEAFARER CAPITAL PARTNERS, LLC CRD Number: 158671 OtherThanAnnual Amendment

How to fill out form adv part 1

How to fill out form adv part 1

1. Open the Form ADV Part 1 document.
2. Read through the instructions and guidelines provided at the beginning of the form.
3. Provide your firm's basic information, such as the name, address, and contact details.
4. Fill out the sections that require information about your firm's ownership, structure, and control.
5. Complete the sections related to your firm's advisory business, including the types of clients you serve and the services you offer.
6. Provide details about your firm's employees, including their qualifications and roles.
7. Fill in the sections that require information about any disciplinary history or legal proceedings involving your firm.
8. Include information about your firm's fees and compensation structure.
9. Provide additional information about your firm's business practices, conflicts of interest, and any other pertinent details.
10. Review the completed Form ADV Part 1 for accuracy and completeness.
11. Submit the form to the appropriate regulatory authority according to their instructions.

Who needs form adv part 1?

1. Registered investment advisers need to complete Form ADV Part 1.
2. Firms that provide investment advice for a fee to individual clients, pooled investment vehicles, or other types of clients are required to file Form ADV Part 1.
3. It is also necessary for firms seeking to register with regulatory authorities or maintain their registration.
4. Financial professionals and firms who meet the criteria set by regulatory authorities for Form ADV Part 1 filing must comply with the requirement.
5. Compliance with Form ADV Part 1 helps ensure transparency and provides information to clients and regulatory bodies about the firm's operations, services, and potential conflicts of interest.

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What is form adv part 1?

Form ADV Part 1 is the uniform form used by investment advisors to register with both the Securities and Exchange Commission (SEC) and state securities authorities.

Who is required to file form adv part 1?

Investment advisors who manage more than $25 million in assets are required to file Form ADV Part 1 with the SEC. Advisors who manage less than $25 million may need to file with state securities authorities.

How to fill out form adv part 1?

Form ADV Part 1 can be filled out electronically on the Investment Adviser Registration Depository (IARD) system. Advisors must provide information about their business practices, fees, employees, and any disciplinary history.

What is the purpose of form adv part 1?

The purpose of Form ADV Part 1 is to provide clients and regulators with key information about an investment advisor's business, including its services, fees, and potential conflicts of interest.

What information must be reported on form adv part 1?

Information that must be reported on Form ADV Part 1 includes the advisor's business name, address, services offered, fee schedule, assets under management, and any affiliations with other financial firms.