Get the free Current February Form ADV - Ritter Daniher Financial Advisory, LLC

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FORM ADV PART 2 February 19, 2014, Dated: February 19, 2014, SEC File #801-61633 CRD #119901 3505 Columbia Parkway Suite 100 Cincinnati, OH 45226 Phone: (513) 233-0715 Fax: (513) 233-0718 www.ritterdaniher.com

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How to fill out current february form adv

How to fill out current February Form ADV:

01

Gather all necessary information: Before starting to fill out the form, gather all the required information such as the firm's name, address, contact details, assets under management, and any disciplinary history.

02

Complete Part 1: Part 1 of Form ADV includes general information about the firm, its ownership structure, and any related persons. Fill out this section accurately and provide all requested information.

03

Complete Schedule A: Schedule A of Form ADV is used to disclose information about the firm's direct owners and executive officers. Provide details about each individual, including their name, position, ownership percentage, and any disciplinary history.

04

Complete Schedule B: Schedule B is used to disclose information about any indirect owners of the firm. Provide details about each indirect owner, including their name, ownership percentage, and any disciplinary history.

05

Complete Schedule C: Schedule C is used to gather information about the firm's other business activities. Include details about any supervised persons, types of clients, and services provided.

06

Complete Schedule D: Schedule D is used to report disciplinary events or regulatory matters. Provide accurate information about any disciplinary actions taken against the firm or its associated persons.

07

Review and file the form: Once you have filled out all the necessary sections, review the form to ensure accuracy. Make any necessary corrections before filing it with the appropriate regulatory authority.

Who needs current February Form ADV:

01

Registered investment advisers: Registered investment advisers are required by the Securities and Exchange Commission (SEC) or the applicable state securities regulator to file Form ADV. This form helps regulators oversee and monitor investment advisory firms.

02

Institutional investors: Institutional investors, such as pension funds or endowments, may require investment advisers to complete Form ADV as part of their due diligence process. It provides them with information about the adviser's business, services, and potential risks.

03

Compliance professionals: Compliance professionals who work in the investment advisory industry need to be familiar with Form ADV to understand the regulatory requirements. They may use the form to assess the compliance of their firms or when evaluating potential advisers.

Overall, anyone involved in the investment advisory industry, from financial professionals to regulators, may need to be aware of and familiar with the current February Form ADV.

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What is current february form adv?

Form ADV is a required form for investment advisers in the United States that is used to register with the Securities and Exchange Commission (SEC) and state securities authorities. The current version of Form ADV is the February 2023 edition.

Who is required to file current february form adv?

Investment advisers in the United States are required to file the current February Form ADV.

How to fill out current february form adv?

The current February Form ADV can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of current february form adv?

The purpose of the current February Form ADV is to provide information about an investment adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events.

What information must be reported on current february form adv?

Information that must be reported on the current February Form ADV includes details about the investment adviser's assets under management, types of clients, conflicts of interest, fees charged, and any regulatory actions.

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