Get the free Schaeffer Form ADV Part 2A (02.17.16)

Item 1Cover Page4612 Great Oak Road Rockville, MD 20853 Phone: (301) 9335550 Fax: (301) 8610789 www.schaefferfinancial.comForm ADV Part 2A Brochure SEC File Number: 801 63790 CRD Number: 133697February

How to fill out schaeffer form adv part

How to fill out schaeffer form adv part

1. To fill out the Schaeffer Form ADV Part, follow these steps:
2. Start by providing your firm's name, address, and contact information.
3. Include your firm's organizational structure, such as whether it is a sole proprietorship, partnership, or corporation.
4. State the types of advisory services your firm offers and describe the methods used for analysis and investment strategies.
5. Provide details about your firm's fee structure, including any performance-based fees.
6. Disclose any conflicts of interest your firm may have and describe how you manage or mitigate those conflicts.
7. Explain any disciplinary history of your firm or its associated persons, if applicable.
8. Include information about your firm's employees and their qualifications.
9. Provide your firm's educational and professional background.
10. Describe your firm's code of ethics and any procedures in place to ensure compliance with regulations.
11. Attach any necessary additional schedules or documents as required by the Form ADV instructions.
12. Review the completed form for accuracy and completeness before submitting it.

Who needs schaeffer form adv part?

1. Schaeffer Form ADV Part is required for registered investment advisers (RIAs) who are filing with the Securities and Exchange Commission (SEC). It is a crucial document for RIAs as it provides detailed information about the firm's business practices, fees, investment strategies, disciplinary history, and more. This information helps clients and regulatory authorities make informed decisions about working with or overseeing the RIA.

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What is schaeffer form adv part?

Schaeffer form ADV Part is a document that investment advisers are required to file with the Securities and Exchange Commission (SEC) disclosing key information about their firm.

Who is required to file schaeffer form adv part?

Investment advisers who are registered with the SEC or state securities regulators are required to file Schaeffer form ADV Part.

How to fill out schaeffer form adv part?

Schaeffer form ADV Part can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of schaeffer form adv part?

The purpose of Schaeffer form ADV Part is to provide key information about an investment adviser to clients and regulators to ensure transparency and compliance with regulations.

What information must be reported on schaeffer form adv part?

Schaeffer form ADV Part requires investment advisers to report information such as assets under management, fees charged, services provided, conflicts of interest, disciplinary history, and more.