Get the free FORM ADV (Paper Form) Instructions - SEC.gov
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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: KING WEALTH MANAGEMENT GROUP, LLC CRD Number: 159550OtherThanAnnual
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How to fill out form adv paper form
How to fill out form adv paper form
01
Read the instructions at the beginning of the Form ADV paper form.
02
Provide your firm's name and CRD number in Section 1 of the form.
03
Indicate the type of filing in Section 2.
04
Provide information about the advisory business in Section 3.
05
Include information about your firm's employees in Section 4.
06
Provide details about your firm's disciplinary history in Section 5.
07
Complete Section 6 for additional offices or jurisdictions.
08
Provide information about affiliations in Section 7.
09
Complete Section 8 for private fund adviser information.
10
Include information about your compensation in Section 9.
11
Complete Section 10 for control persons and management.
12
Provide information about custody practices in Section 11.
13
Complete Section 12 if the firm outsources its CCO.
14
Include information about your website and social media presence in Section 13.
15
Attach any necessary schedules and amendments to the form.
Who needs form adv paper form?
01
Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) need to fill out the Form ADV paper form.
02
Firms managing private funds and providing investment advice to clients need to complete this form.
03
Advisers with assets under management (AUM) above certain thresholds must file the Form ADV.
04
Newly formed firms seeking SEC registration should also fill out this form.
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What is form adv paper form?
Form ADV paper form is a required document filed by investment advisers with the U.S. Securities and Exchange Commission (SEC) that provides information about the adviser, its business practices, clients, and conflicts of interest.
Who is required to file form adv paper form?
Investment advisers who manage $25 million or more in assets must file Form ADV paper form with the SEC.
How to fill out form adv paper form?
Form ADV paper form can be filled out manually or electronically by providing detailed information about the adviser's business, services offered, fees charged, disciplinary history, and more.
What is the purpose of form adv paper form?
The purpose of Form ADV paper form is to provide transparency to clients and regulators about an investment adviser's business practices, conflicts of interest, and other relevant information.
What information must be reported on form adv paper form?
Information that must be reported on Form ADV paper form includes the adviser's assets under management, fee structure, services provided, ownership and control relationships, and any disciplinary history.
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