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Item 1. Cover Waveform ADV, Part 2: Firm Brochure Charter Investments, LLC 2028 River gate Drive Knoxville, Tennessee 37920 Barry R. Charter, CFA, President (865)5795868 (865)5731642 (Fax) (865)8034406

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How to fill out form adv part 2

01

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

02

Start by providing basic information about your firm, such as its legal name, address, and contact details.

03

Next, disclose information about your firm's ownership structure, including any affiliates or subsidiaries.

04

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

05

Provide details about the education, qualifications, and experience of your firm's key personnel, such as investment advisers.

06

Disclose any disciplinary events or legal actions involving your firm or its key personnel.

07

Explain your firm's fee structure, including any fees you charge for advisory services.

08

Disclose any conflicts of interest your firm may have, such as affiliations with other financial institutions.

09

Provide information about your firm's code of ethics and any policies or procedures in place to prevent conflicts of interest.

10

Finally, review the completed Form ADV Part 2 for accuracy and completeness before submitting it.

11

Note: It is advisable to consult with a legal or compliance professional for guidance specific to your firm's situation.

Who needs form adv part 2?

01

Form ADV Part 2 is required by investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities authorities. It is a regulatory filing that provides important information to clients and potential clients about the adviser's services, fees, and potential conflicts of interest. Therefore, any investment adviser subject to SEC or state regulation needs to file Form ADV Part 2.

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What is form adv part 2?

Form ADV Part 2 is a document that registered investment advisors must provide to clients, containing information about the advisor's services, fees, conflicts of interest, and more.

Who is required to file form adv part 2?

Registered investment advisors are required to file Form ADV Part 2.

How to fill out form adv part 2?

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

What is the purpose of form adv part 2?

The purpose of Form ADV Part 2 is to provide clients with important information about the services, fees, and processes of their investment advisor.

What information must be reported on form adv part 2?

Information reported on Form ADV Part 2 includes services offered, fees charged, conflicts of interest, disciplinary history, and more.

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