Get the free FORM ADV - TrimTabs Asset Management

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: TRIALS ASSET MANAGEMENT, LLC CRD Number: 135152Annual Amendment All

How to fill out form adv - trimtabs

How to fill out form adv - trimtabs

1. To fill out the Form ADV for TrimTabs, follow these steps:
2. Start by downloading the Form ADV from the SEC's website or TrimTabs' official website.
3. Begin with Section 1: Identifying Information. Provide the required details such as the name of the advisory firm, address, phone number, and email.
4. Move on to Section 2: Sec Reporting Adviser. Here, you will need to furnish information about the AUM (Asset Under Management), firm type, number of clients, and more.
5. Proceed to Section 3: Form of Organization. Fill out this section with details regarding the organizational structure of TrimTabs.
6. Continue to Section 4: Successions. If applicable, provide information about any succession plans or events.
7. Move to Section 5: Information about Your Advisory Business. This section requires disclosure of various aspects of TrimTabs' business operations.
8. Proceed to Section 6: Other Business Activities. Disclose any other business activities conducted by TrimTabs or its employees.
9. Continue to Section 7: Financial Industry Affiliations and Private Fund Reporting. If TrimTabs is affiliated with any other financial entities or involved in private fund reporting, provide the necessary details.
10. Move on to Section 8: Participation in Client Transactions. Disclose any involvement in client transactions within TrimTabs.
11. Proceed to Section 9: Custody. Indicate whether TrimTabs has custody of client funds or securities.
12. Continue to Section 10: Control Persons. Provide information about key individuals who control or manage TrimTabs.
13. Move to Section 11: Disciplinary Information. Disclose any disciplinary events or actions against TrimTabs or its employees.
14. Proceed to Section 12: Other Financial Industry Activities and Affiliations. Provide details of any other financial industry activities or affiliations.
15. Continue to Section 13: Performance-Related Disclosures. Disclose any performance-related information required by the SEC.
16. Move on to Section 14: Privacy. Provide information on TrimTabs' privacy policy and practices.
17. Proceed to Section 15: Policies and Procedures. Disclose the relevant policies and procedures followed by TrimTabs.
18. Complete Section 16: Proxy Voting Policies and Procedures. If TrimTabs engages in proxy voting, provide the related policies and procedures.
19. Move to Section 17: Proxy Voting Record. If applicable, disclose TrimTabs' proxy voting record.
20. Finally, review the completed Form ADV thoroughly for accuracy and completeness. Make any necessary corrections or additions.
21. Sign and submit the Form ADV to the SEC as per the provided instructions or guidelines.

Who needs form adv - trimtabs?

1. Form ADV - TrimTabs is required by advisory firms that provide investment advice and are registered with the SEC (Securities and Exchange Commission).
2. It is specifically needed by TrimTabs, an advisory firm, to comply with regulatory obligations and provide necessary information about their advisory business operations to the SEC and clients.
3. Additionally, investors and potential clients may also refer to the Form ADV - TrimTabs to assess the firm's qualifications, services offered, fees, and other crucial information before engaging in a business relationship.

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What is form adv - trimtabs?

Form ADV is a form used by investment advisers to register with the SEC and state securities authorities. Trimtabs is a research firm that focuses on equity. Form ADV - Trimtabs is likely a version of Form ADV specific to Trimtabs.

Who is required to file form adv - trimtabs?

Investment advisers who meet certain thresholds are required to file Form ADV with the SEC or state securities authorities. Trimtabs, being a research firm, may need to file Form ADV if they provide investment advice for a fee.

How to fill out form adv - trimtabs?

The specific details for filling out Form ADV for Trimtabs would depend on their business activities and structure. Generally, the form requires information about the adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events.

What is the purpose of form adv - trimtabs?

The purpose of Form ADV is to provide clients and regulators with important information about an investment adviser. This helps promote transparency and accountability within the financial industry.

What information must be reported on form adv - trimtabs?

Form ADV typically requires details about the adviser's business practices, fees, disciplinary history, ownership, and other important information that would help clients and regulators understand the adviser's operations.