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FIRM BROCHURE(PART 2A OF FORM ADV)Cape Ann Capital, Inc.
13 Wood crest Road
Manchester, MA 01944
(978) 5267541
(979) 5267542 (fax)
www.CapeAnnCapital.com
Dave×CapeAnnCapital.com December 31, 2014This
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How to fill out form adv part 2adoc
How to fill out form adv part 2adoc
01
To fill out Form ADV Part 2A, follow these steps:
02
Start by entering your firm's name, address, and other contact information in Section 1.
03
In Section 2, provide information about your firm's ownership, including any affiliates or subsidiaries.
04
Section 3 requires you to disclose the types of advisory services your firm offers, as well as any investment strategies used.
05
In Section 4, provide details about your firm's educational and business background, including relevant industry experience and professional qualifications.
06
Section 5 is dedicated to disclosing any disciplinary information, such as regulatory actions or criminal charges against your firm or its employees.
07
Provide information about your firm's fees, compensation, and conflicts of interest in Section 6.
08
In Section 7, disclose any other material information that may be relevant to your clients, such as affiliations with third-party providers or ongoing litigation.
09
Finally, review the completed form for accuracy and completeness before submitting it to the appropriate regulatory authorities.
Who needs form adv part 2adoc?
01
Form ADV Part 2A is required by investment advisers registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. It is necessary for any firm that provides advisory services to clients and manages assets worth $25 million or more. Firms may also be required to submit Form ADV Part 2A to state securities authorities if they manage assets below the SEC threshold but are subject to state registration requirements. Therefore, any investment adviser who meets these criteria needs to complete Form ADV Part 2A.
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What is form adv part 2adoc?
Form ADV Part 2A is a disclosure document that registered investment advisers must provide to their clients. It includes information about the adviser's services, fees, and conflicts of interest.
Who is required to file form adv part 2adoc?
Registered investment advisers are required to file Form ADV Part 2A.
How to fill out form adv part 2adoc?
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2adoc?
The purpose of Form ADV Part 2A is to provide clients with important information about the services, fees, and potential conflicts of interest of their investment adviser.
What information must be reported on form adv part 2adoc?
Form ADV Part 2A requires information about the adviser's educational background, business practices, and any disciplinary history.
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