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FORM ADV PART 2A FIRM BROCHURE Serves Capital Management, LLC 1149 Vista Park Drive, Suite A Forest, Virginia 24551 Main Phone Number: (434) 316-0246 Toll Free Phone Number: (866) 396-6861 Fax Number:

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Begin by gathering all the necessary information and documents required to complete the form. This may include details about your advisory business, such as its name, address, and contact information.
2. Next, provide information about your ownership structure, including the names and addresses of any individuals or entities with a significant ownership interest in the firm.
3. Describe your firm's business, including the types of advisory services you offer and the types of clients you serve. You may need to provide additional details about the nature and scope of your services.
4. Disclose any affiliations or relationships that could present conflicts of interest. This may include any financial industry positions held by you or your associates, as well as any compensation arrangements with third parties.
5. Describe your firm's fee structure and any additional charges or expenses that clients may incur. You should also explain how your fees are calculated and when they are due.
6. Provide information about your firm's disciplinary history, if applicable. This may include any legal or disciplinary actions taken against the firm or its associates in the past.
7. Finally, review the completed form for accuracy and completeness before submitting it to the appropriate regulatory authority.

Who needs Form ADV Part 2A:

1. Registered Investment Advisers (RIAs): Form ADV Part 2A is a requirement for RIAs under the Securities Exchange Act of 1934. This includes any individuals or firms that provide investment advice or manage investment portfolios for clients in exchange for compensation.
2. Financial Planners: If you offer financial planning services, you may be required to file Form ADV Part 2A. This is because financial planning typically involves providing investment advice or recommendations, which falls under the purview of the SEC.
3. Investment Adviser Representatives: In addition to the RIA firm, individual investment adviser representatives (IARs) may also need to complete Form ADV Part 2A. IARs are typically associated with and employed by the RIA firm, and they often engage directly with clients to provide investment advice.

Please note that the specific requirements for Form ADV Part 2A may vary depending on the jurisdiction and regulatory authority governing your advisory business. It is advisable to consult with legal and compliance professionals to ensure compliance with all relevant regulations and guidelines.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a disclosure document that investment advisers are required to provide to clients. It contains information about the adviser's services, fees, conflicts of interest, and other relevant information.

Who is required to file form adv part 2a?

Registered investment advisers are required to file Form ADV Part 2A with the Securities and Exchange Commission (SEC) or state securities regulators.

How to fill out form adv part 2a?

Form ADV Part 2A must be filled out accurately and completely, disclosing all relevant information about the investment adviser's business practices, conflicts of interest, fees, and other important details.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about the investment adviser's business practices, fees, conflicts of interest, and other relevant information to help them make informed decisions.

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

Form ADV Part 2A requires investment advisers to report information about their business practices, services offered, fees charged, conflicts of interest, disciplinary history, and other relevant information.

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