Get the free Form ADV Part 1 - Keeley Asset Management

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: KEELEYTETON Advisers, LLC CRD Number: 286297 OtherThanAnnual Amendment

How to fill out form adv part 1

How to fill out form adv part 1

1. Read the instructions: Start by thoroughly reading the instructions provided with the Form ADV Part 1.
2. Collect necessary information: Gather all the required information and documents to fill out the form accurately.
3. Provide firm details: Enter your firm's name, address, contact information, and other basic details in the designated sections.
4. Explain your business: Describe the nature of your firm's business, including the types of clients you serve and the services you offer.
5. Provide background information: Disclose any disciplinary history, conflicts of interest, affiliations, or regulatory actions related to your firm.
6. Complete the registration information: Fill out the sections regarding the registration status of your firm, including any exemptions or registrations with other regulatory bodies.
7. Report financials: Provide financial information related to your firm, such as assets under management, sources of revenue, and fee structures.
8. Submit supporting documents: Attach any necessary supporting documents, such as brochures, offering materials, or client agreements.
9. Review and sign: Carefully review all the entered information, make any necessary corrections, and sign the form to certify its accuracy and completeness.
10. File the form: Once you have completed the form, file it with the appropriate regulatory authority according to their instructions.

Who needs form adv part 1?

1. Investment advisers: Investment advisers, both registered and exempt from registration, are required to file Form ADV Part 1.
2. Hedge fund managers: Hedge fund managers who manage assets exceeding certain thresholds must also submit Form ADV Part 1.
3. Private fund advisers: Private fund advisers, such as those managing private equity funds or venture capital funds, need to file Form ADV Part 1.
4. Mutual fund advisers: Advisers to mutual funds or other pooled investment vehicles must also comply with the requirement of filing Form ADV Part 1.
5. Other financial professionals: Certain financial professionals, such as pension consultants or commodity trading advisors, may also need to complete Form ADV Part 1.

For pdfFiller’s FAQs

How do I execute form adv part 1 online?

pdfFiller makes it easy to finish and sign form adv part 1 online. It lets you make changes to original PDF content, highlight, black out, erase, and write text anywhere on a page, legally eSign your form, and more, all from one place. Create a free account and use the web to keep track of professional documents.

Can I create an eSignature for the form adv part 1 in Gmail?

Use pdfFiller's Gmail add-on to upload, type, or draw a signature. Your form adv part 1 and other papers may be signed using pdfFiller. Register for a free account to preserve signed papers and signatures.

How do I complete form adv part 1 on an iOS device?

In order to fill out documents on your iOS device, install the pdfFiller app. Create an account or log in to an existing one if you have a subscription to the service. Once the registration process is complete, upload your form adv part 1. You now can take advantage of pdfFiller's advanced functionalities: adding fillable fields and eSigning documents, and accessing them from any device, wherever you are.

What is form adv part 1?

Form ADV Part 1 is a required disclosure document that provides information about an investment advisor's business, services, fees, conflicts of interest, and disciplinary history.

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 clients and regulators with information about an investment advisor's business practices and potential conflicts of interest.

What information must be reported on form adv part 1?

Form ADV Part 1 requires information about an investment advisor's business model, services offered, fees charged, key personnel, and any disciplinary history.