Get the free FORM ADV - Conestoga Capital Advisors, LLC

1/30/2018IARD All Sections Username: gwatkins29, Org ID: 111750 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CONESTOGA

How to fill out form adv - conestoga

How to fill out form adv - conestoga

1. To fill out Form ADV-Conestoga, follow these steps:
2. Download Form ADV-Conestoga from the official website of the Securities and Exchange Commission (SEC).
3. Start by filling out the basic information section, including the name and contact details of the adviser, their registration information, and the fiscal year-end.
4. Proceed to Part 1 of Form ADV-Conestoga, which requires disclosing information about the adviser's business, ownership, clients, and employees. Fill out each subsection carefully, providing accurate and complete details.
5. In Part 2A of Form ADV-Conestoga, the adviser needs to provide information about their services, fees, and compensation, as well as any conflicts of interest. Provide the necessary details openly and transparently.
6. Complete Part 2B of Form ADV-Conestoga, which involves providing information about the adviser's employees who directly contact clients. Include their names, roles, and qualifications.
7. Review the completed Form ADV-Conestoga thoroughly to ensure accuracy and completeness. Make any necessary corrections or additions.
8. Sign and date the form in the designated areas to certify the accuracy of the information provided.

Who needs form adv - conestoga?

1. Form ADV-Conestoga is required by investment advisers who are registered with the SEC or required to be registered. It is a regulatory filing that helps the SEC gather essential information about the adviser's business, services, and potential conflicts of interest. By submitting Form ADV-Conestoga, the adviser ensures compliance with SEC regulations and provides transparency to clients and regulators.

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What is form adv - conestoga?

Form ADV - Conestoga is a document required to be filed by investment advisers with the Securities and Exchange Commission.

Who is required to file form adv - conestoga?

Investment advisers who are registered with the SEC are required to file Form ADV - Conestoga.

How to fill out form adv - conestoga?

Form ADV - Conestoga can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv - conestoga?

The purpose of Form ADV - Conestoga is to provide information about the adviser's business practices, fees, services, conflicts of interest, and other important details.

What information must be reported on form adv - conestoga?

Form ADV - Conestoga requires information such as assets under management, client types, regulatory assets under management, and disciplinary history.