Get the free FORM ADV Part 2A - Wessel Investment Counsel, LLC

Vessel Investment Counsel, LLC 22 South Pack Square, #400 Asheville, NC 28801 (828) 232-2000 www.wesselinvestment.com www.wesselinvestments.com www.wesselinvestmentcounsel.com February 27, 2014, FORM

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by providing your firm's information, such as its name, address, and contact details. This includes any other identifying information such as CRD, SEC file number, and state registration numbers if applicable.
2. Next, you will need to disclose whether your firm is a single or multiple entity, as well as any branch offices or affiliates that are part of your firm. This section also requires you to mention any changes in your firm's ownership or control during the reporting period.
3. Proceed to disclose any disciplinary events, such as criminal charges, regulatory actions, or civil proceedings involving the firm or its associates. You should provide detailed information about each event, including the name of the regulatory agency or court, the type of action taken, and any sanctions or penalties imposed.
4. The next section of the form pertains to your firm's compensation and fee structure. You will need to disclose the types of fees you charge, including management fees, performance fees, commissions, and any other sources of compensation. Additionally, provide information on how clients are billed and any conflicts of interest that may arise due to your compensation arrangements.
5. In the investment strategies section, describe the types of investments your firm engages in, whether it's securities, real estate, commodities, or any other asset class. You should also include information on any material risks associated with your investment strategies.
6. Provide details on your firm's educational background and experience, as well as any certifications or professional designations held by your staff. This helps establish your firm's expertise and credibility.
7. Finally, include any additional information that may be relevant for clients, such as disclosure of any affiliations with other financial firms, key personnel, or any other material facts that clients should be aware of before engaging with your firm.

Who needs Form ADV Part 2A:

1. Registered investment advisers (RIAs) - Any firm that meets the definition of an investment adviser and is required to be registered with the U.S. Securities and Exchange Commission (SEC) or state securities authorities.
2. Financial advisory firms - Any firm or individual that provides investment advice or manages client assets for compensation.
3. Fiduciaries - Professionals or firms with a fiduciary duty to act in their clients' best interests, managing and offering advice on investment portfolios.

Note: It's always recommended to consult with legal or compliance professionals to ensure compliance with all necessary regulations and requirements when filling out Form ADV Part 2A.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment advisor's services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.

Who is required to file form adv part 2a?

Investment advisors registered with the Securities and Exchange Commission (SEC) or state securities regulators are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system, following the instructions provided by the SEC or state securities regulators.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about an investment advisor's business practices, allowing them to make informed decisions about whether to hire or retain the advisor.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires investment advisors to report information about their services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.

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