Get the free Wrap Fee Form ADV brochure - UBS

UBS Financial Services Inc. 1000 Harbor Boulevard Weaken, NJ 07086 201-352-3000 http://financialservicesinc.ubs.com SEC File Number 801-7163 March 31, 2014, Discretionary Programs UBS Managed Portfolio

How to fill out wrap fee form adv

How to fill out wrap fee form adv:

1. Start by carefully reading the instructions provided with the form. Familiarize yourself with the sections and requirements of the form.
2. Begin with the first section, which typically requires information about the firm or adviser filling out the form. Fill in all relevant details such as the firm's name, address, SEC registration number, and contact information.
3. Move on to the next sections that require information about the services being offered. Provide a detailed description of the wrap fee program, including the types of services, fees, and any additional information required by the form.
4. Proceed to the section that asks for information on the firm's compensation. Clearly disclose all fees and compensation received by the firm related to the wrap fee program. Include any details regarding how fees are calculated, paid, or waived.
5. Complete the section that requires disclosure of conflicts of interest. This may include disclosing any affiliations with other financial products or services providers, potential conflicts with clients' interests, or any other pertinent information.
6. Review the completed form for accuracy and completeness. Ensure that all required sections and information have been provided. Double-check that all answers are clear and concise.
7. Sign and date the form, indicating your responsibility for the accuracy of the information provided. If applicable, include any required additional signatures from other relevant parties within the firm.
8. Keep a copy of the completed form for your records and submit the original to the appropriate regulatory authority as instructed on the form.

Who needs wrap fee form adv:

1. Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) who offer wrap fee programs to clients are required to fill out the wrap fee form adv.
2. Wrap fee programs typically involve bundling or "wrapping" investment advisory services together with other services such as brokerage, custody, or other related services.
3. The wrap fee form adv is designed to provide transparency and clarity to clients and regulatory authorities regarding the firm's wrap fee program, including the services offered, fees charged, and any potential conflicts of interest.
4. Investment advisers who do not offer wrap fee programs may not be required to fill out this specific form but are still obligated to provide accurate and complete information about their services and fees through other means, such as the Form ADV Part 2A or the brochure.
5. It is important for investment advisers to carefully assess whether they offer wrap fee programs and if so, to follow the guidelines and requirements set forth by regulatory authorities in filling out the wrap fee form adv to ensure compliance with applicable regulations and to provide transparency to their clients.

For pdfFiller’s FAQs

What is wrap fee form adv?

Wrap fee form adv is a form required by the Securities and Exchange Commission (SEC) that must be filed by investment advisers who offer wrap fee programs.

Who is required to file wrap fee form adv?

Investment advisers who offer wrap fee programs are required to file wrap fee form adv.

How to fill out wrap fee form adv?

Wrap fee form adv must be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of wrap fee form adv?

The purpose of wrap fee form adv is to provide information about the investment adviser's wrap fee programs, including fees, services, and conflicts of interest.

What information must be reported on wrap fee form adv?

Wrap fee form adv must include information about the investment adviser's fees, services provided, conflicts of interest, and any other relevant information about the wrap fee program.

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