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ASPIRATION FUND ADVISER, LLC FORM ADV PART 2A DISCLOSURE BROCHURE SEPTEMBER 2, 20149200 W. Sunset Boulevard Los Angeles, California 90069 424.279.9351 www.aspiration.com This brochure provides information

How to fill out form adv part 2ad

How to fill out form adv part 2ad

1. To fill out Form ADV Part 2AD, follow these steps:
2. Start by downloading the Form ADV Part 2AD from the official website of the U.S. Securities and Exchange Commission (SEC).
3. Begin by providing your name and the name of your investment advisory firm, along with any other identifying information requested.
4. Next, complete section 1, which covers information about your firm's advisory business, such as the types of clients you serve and the services you offer.
5. In section 2, detail any disciplinary information, including any legal or regulatory actions against you or your firm.
6. Section 3 focuses on conflicts of interest. Provide a thorough explanation of any conflicts that may arise between your firm and your clients.
7. Section 4 covers your firm's code of ethics and any policies or procedures in place to prevent violations.
8. The next section requires you to disclose any financial industry affiliations you may have, such as relationships with broker-dealers or other investment advisors.
9. In section 6, provide information about how your firm charges clients for its services and any fee schedules you have in place.
10. Section 7 requires you to detail your firm's educational and professional background, along with any qualifications or certifications you hold.
11. Finally, review the completed form for accuracy and completeness before submitting it to the SEC.
12. Remember to check the official instructions provided by the SEC for any specific requirements or additional information that may be necessary for your particular situation.

Who needs form adv part 2ad?

1. Form ADV Part 2AD is required for investment advisers or firms registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940.
2. Any investment adviser managing at least $25 million in assets must register with the SEC and file Form ADV Part 2AD.
3. However, investment advisers with less than $25 million in assets may still need to register with their state securities regulator and file a similar form.
4. It is important to consult with legal counsel or a compliance professional to determine the specific requirements based on your firm's size and jurisdiction.

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What is form adv part 2ad?

Form ADV Part 2A is a document that registered investment advisers are required to provide to clients, which contains information about the adviser's business practices, fees, and conflicts of interest.

Who is required to file form adv part 2ad?

Registered investment advisers are required to file Form ADV Part 2A.

How to fill out form adv part 2ad?

The form can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2ad?

The purpose of Form ADV Part 2A is to provide clients with important information about an investment adviser's business operations and potential conflicts of interest.

What information must be reported on form adv part 2ad?

Information regarding the adviser's services, fees, qualifications, disciplinary history, and conflicts of interest must be reported on Form ADV Part 2A.