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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: PERSONAL CAPITAL Advisers CORPORATION CRD Number: 155172OtherThanAnnual

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How to fill out form adv part 1

01

To fill out Form ADV Part 1, follow these steps:

02

Start by providing your firm's identifying information, including its name, address, and contact details.

03

Indicate whether your firm is a state-registered investment adviser (IA) or a Securities and Exchange Commission (SEC) registered IA.

04

Specify the types of services your firm offers and the amount of assets it manages or advises on.

05

Disclose any affiliations and business activities your firm is involved in.

06

Provide information about your firm's ownership structure and the individuals who control or manage it.

07

Disclose any disciplinary events or regulatory actions involving your firm or its employees.

08

Include details about your firm's client base, including the types of clients you serve and their assets under management.

09

Provide information about any custody or solicitation activities your firm engages in.

10

Describe your firm's compensation arrangements, including any fees or conflicts of interest.

11

Lastly, sign and date the form to certify its accuracy.

12

Remember to review the instructions and guidelines provided by the SEC or your state securities regulator while filling out Form ADV Part 1 to ensure compliance.

Who needs form adv part 1?

01

Form ADV Part 1 is required by investment advisers who are either registered with the Securities and Exchange Commission (SEC) or state securities regulators.

02

It is used to provide vital information about the adviser's business, services, and potential conflicts of interest to regulators and clients.

03

Both newly registering advisers and existing advisers are required to file Form ADV Part 1, and it must be updated annually to reflect any changes in the adviser's business.

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What is form adv part 1?

Form ADV Part 1 is a required disclosure document that provides information about an investment advisor, including its business practices, fees, services, and conflicts of interest.

Who is required to file form adv part 1?

Investment advisors registered with the Securities and Exchange Commission (SEC) or state securities regulators are required to file Form ADV Part 1.

How to fill out form adv part 1?

Form ADV Part 1 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisors must provide information about their business, fees, services, and any conflicts of interest.

What is the purpose of form adv part 1?

The purpose of Form ADV Part 1 is to provide disclosure to clients and regulators about an investment advisor's business practices, fees, services, and conflicts of interest.

What information must be reported on form adv part 1?

Information such as the advisor's business practices, fees charged, services offered, and any conflicts of interest must be reported on Form ADV Part 1.

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