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8/17/2018IARD All Sections Username: poncho, Org ID: 148456 FORM ADV UNIFORMAPPLICATIONFORINVESTMENTADVISERREGISTRATIONANDREPORTBYEXEMPTREPORTING ADVISERS PrimaryBusinessName:WEALTHFRONTADVISERSLLCCRDNumber:148456OtherThanAnnualAmendmentAllSectionsRev.10/20178/16/20185:32:50PM
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How to fill out form adv part 1
How to fill out form adv part 1
01
To fill out form ADV part 1, follow these steps:
02
Start by downloading the form from the Securities and Exchange Commission (SEC) website.
03
Provide general information about your firm, such as its name, address, and contact details.
04
Enter details about the ownership and control of your firm, including the names of key personnel and their roles.
05
Provide information about your firm's affiliates and any relationships with other financial entities.
06
Disclose information about your firm's business activities, including the types of clients you serve and the services you offer.
07
Answer questions regarding your firm's assets under management, including the amount and types of assets you manage.
08
Collaborate with legal and compliance experts to ensure accurate and complete disclosure of any disciplinary history, conflicts of interest, or other required information.
09
Review the completed form for accuracy and make any necessary revisions.
10
File the form electronically through the Investment Adviser Registration Depository (IARD) system.
11
Keep a copy of the completed form for your records.
Who needs form adv part 1?
01
Form ADV part 1 is required for investment advisers who are registered with the SEC, as well as those who are exempt from registration but are required to file reports with the SEC.
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What is form adv part 1?
Form ADV Part 1 is a required disclosure form that provides key information about a firm's services, fees, and disciplinary history.
Who is required to file form adv part 1?
Investment advisers registered with the SEC 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.
What is the purpose of form adv part 1?
The purpose of Form ADV Part 1 is to provide clients and regulators with important information about an investment adviser's business practices.
What information must be reported on form adv part 1?
Form ADV Part 1 requires information about the adviser's business, ownership, clients, employees, and any disciplinary history.
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