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FINANCIAL PLAN, INC. PART 2B OF FORM ADV: BROCHURE SUPPLEMENTDAVID A. DICK, CFP FINANCIAL PLAN, INC. 2115 Barkley Blvd #101 Bellingham, WA 98226 (360) 7141234 www.financialplaninc.com January 1, 2015This

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How to fill out form adv part 2b

01

To fill out Form ADV Part 2B, follow these steps: 1. Start by providing the required general information about your firm, such as its name, address, and contact details. 2. Provide information about your firm’s ownership and control, including any history of legal or regulatory events involving your firm or its personnel. 3. Disclose any disciplinary information about your firm and its personnel, including any criminal, regulatory, or civil actions. 4. Describe the educational background and business experience of your firm’s key personnel. 5. Detail the services your firm provides, including the types of clients you work with and the products or strategies you offer. 6. Provide information about the fees you charge and any potential conflicts of interest associated with your firm’s compensation arrangements. 7. Discuss the firm’s investment process and methodology, including how you select investments and manage risk. 8. Describe any affiliations your firm has with other financial professionals or firms, including any compensation arrangements. 9. Explain any additional information necessary for clients to make informed decisions about your firm and its services. 10. Finally, review the completed Form ADV Part 2B for accuracy and completeness before submitting it to the appropriate regulatory authority.

Who needs form adv part 2b?

01

Form ADV Part 2B is needed by registered investment advisers (RIAs) who are required to provide a brochure supplement to their Form ADV Part 2A. The brochure supplement provides important information about the RIA’s key personnel who provide investment advice to clients. This is necessary to enhance transparency and help clients make informed decisions about their investments.

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What is form adv part 2b?

Form ADV Part 2B is a disclosure document that provides clients with information about the qualifications and business practices of their investment advisor.

Who is required to file form adv part 2b?

Investment advisors registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2B.

How to fill out form adv part 2b?

Form ADV Part 2B can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2b?

The purpose of Form ADV Part 2B is to provide clients with important information about their investment advisor's background, fees, conflicts of interest, and disciplinary history.

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

Form ADV Part 2B requires investment advisors to report information about their business practices, fees, services offered, conflicts of interest, and disciplinary history.

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