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ADV Part 2A Firm Brochure Double+Worthington Capital Management, LLC DBA Double+Worthington Equity Portfolios 3116 E. Morgan Ave., Ste. An Evansville, IN 47711 Phone: 812 401 8700 Fax: 812 401 8709

How to fill out form adv - dwequitycom

How to fill out Form ADV - dwequitycom?

1. Start by gathering all the necessary information. The form will require details about your firm, such as its name, address, and contact information.
2. Provide information about your firm's ownership structure. You will need to disclose any individuals or entities that hold a significant ownership interest in the firm.
3. Detail your firm's services and fees. This includes information about the types of services you offer, the fee structure, and any conflicts of interest that may exist.
4. Describe your firm's business practices. This section requires you to provide information about how you conduct business, including your investment strategies and any affiliations or relationships that may affect your clients.
5. Complete the section on disciplinary history. You must disclose any regulatory or legal actions taken against your firm or its employees in the past.
6. Submit any required attachments or additional documentation. This may include copies of brochures, contracts, or other materials that are referenced in the form.

Who needs Form ADV - dwequitycom?

1. Registered Investment Advisers (RIAs): RIAs are required to file Form ADV with the Securities and Exchange Commission (SEC) or their state securities regulator. This form provides essential information about the adviser's business and helps regulators monitor and supervise the industry.
2. Potential investors: Form ADV is a valuable resource for potential investors looking to vet and research an investment adviser. It provides crucial details about the adviser's background, services, fees, and potential conflicts of interest.
3. Compliance professionals: Compliance professionals within the investment advisory industry also refer to Form ADV to ensure that firms are meeting their regulatory obligations. They may use this form to assess the firm's compliance program, review disclosures, and identify any potential risks or concerns.

For pdfFiller’s FAQs

What is form adv - dwequitycom?

Form ADV is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state securities authorities. Dwequitycom is not a specific form ADV, it may refer to a fictional entity.

Who is required to file form adv - dwequitycom?

Investment advisers who manage assets worth a certain amount are required to file Form ADV with the SEC.

How to fill out form adv - dwequitycom?

Form ADV is typically filled out online through the Investment Adviser Registration Depository (IARD) system. It requires detailed information about the adviser's business, owners, clients, fees, and potential conflicts of interest.

What is the purpose of form adv - dwequitycom?

The purpose of Form ADV is to provide transparency to regulators and investors about the operations and potential conflicts of interest of an investment adviser.

What information must be reported on form adv - dwequitycom?

Information such as assets under management, types of clients, services provided, fees charged, ownership structure, disciplinary history, and potential conflicts of interest must be reported on Form ADV.

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