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Item 1 Cover Waveform ADV Part 2A Brochure Resources Investment Advisors, Inc. (Retirement Plan Division) 4860 College Blvd. Overland Park, KS 66211 9133385300www.RIAadvisor.com March 22, 2017, This

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow these steps:

02

Start by providing your firm's name, address, and contact information.

03

Provide information about your firm's ownership structure and any affiliations.

04

Describe your firm's business practices, including the types of clients you serve and the services you offer.

05

Disclose any disciplinary history or legal proceedings involving your firm or its employees.

06

Provide details about your firm's fee structure and any potential conflicts of interest.

07

Include information about your firm's advisory personnel, their qualifications, and any disciplinary history.

08

Describe any additional compensation arrangements your firm has with third parties.

09

Provide details about your firm's custody practices and whether you have authority over client assets.

10

Disclose any financial industry affiliations or business activities outside of your advisory services.

11

Finally, sign and date the form to certify its accuracy and completeness.

12

Remember to review the instructions provided by the Securities and Exchange Commission (SEC) for a more detailed guide on filling out Form ADV Part 2A.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940.

02

It is also required for state-registered investment advisers in certain states.

03

The form provides important information to clients and potential clients about an investment adviser's business practices, fees, qualifications, and potential conflicts of interest.

04

By requiring this form, regulators aim to promote transparency and help investors make informed decisions when choosing an investment adviser.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment advisor, including services offered, fees charged, disciplinary history, and conflicts of interest.

Who is required to file form adv part 2a?

Registered investment advisors (RIAs) 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 should be completed accurately and thoroughly, providing all requested information about the investment advisor's business practices, conflicts of interest, and disciplinary history.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to help clients make informed decisions about whether to hire or retain an investment advisor by providing key information about the advisor's business practices and potential conflicts of interest.

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

Information that must be reported on Form ADV Part 2A includes the investment advisor's services, fees, disciplinary history, conflicts of interest, and other relevant business practices.

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