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2475 Coral Court Suite A Colville, IA 52241 888.300.4975 https://rdafn.com Wrap Fee Disclosure Brochure March 20th, 2017 A Registered Investment Adviser Firm IARD/CRD Number: 147309 SEC Number: 80169651
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How to fill out wrap fee disclosure brochure
How to fill out wrap fee disclosure brochure
01
Gather all necessary information about the wrap fee program and the client's account.
02
Start with the basic client information, including their name, address, and contact details.
03
Include a clear description of the wrap fee program, highlighting the services provided and the associated fees.
04
Provide a breakdown of the fees, including management fees, transaction fees, and any additional charges.
05
Explain the potential conflicts of interest that may arise due to the wrap fee program.
06
Include a clear explanation of the risks involved in the wrap fee program.
07
Outline the client's rights and responsibilities, including their ability to terminate the program.
08
Disclose any limitations or restrictions on the client's ability to make investment decisions.
09
Provide information on how clients can access their account statements and track the performance of their investments.
10
Finally, include any required signatures and submission instructions for the completed wrap fee disclosure brochure.
Who needs wrap fee disclosure brochure?
01
Individual investors who are considering participating in a wrap fee program.
02
Financial advisors and investment firms who offer wrap fee programs.
03
Regulatory bodies and compliance officers who need to ensure compliance with disclosure requirements.
04
Industry professionals and researchers studying the practices of investment firms and financial advisors.
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What is wrap fee disclosure brochure?
The wrap fee disclosure brochure is a document provided to clients that outlines the details of a wrap fee program, including the fees, services, and potential conflicts of interest.
Who is required to file wrap fee disclosure brochure?
Financial advisors and investment firms who offer wrap fee programs are required to file the wrap fee disclosure brochure with the SEC or state securities authorities.
How to fill out wrap fee disclosure brochure?
The wrap fee disclosure brochure should be filled out by providing clear and accurate information about the fees, services, and conflicts of interest associated with the wrap fee program.
What is the purpose of wrap fee disclosure brochure?
The purpose of the wrap fee disclosure brochure is to provide clients with transparency and information about the wrap fee program, helping them make informed decisions about their investments.
What information must be reported on wrap fee disclosure brochure?
The wrap fee disclosure brochure must include information about the fees charged, services provided, conflicts of interest, investment strategies, and any other relevant details about the wrap fee program.
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