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FORM ADV PART 2B* Brochure Supplement Professional Backgrounds of Sean StannardStockton Ludovic Thomas son Katherine Fischer Michael Alone Arif Karim Todd Winning Paul Perkins Matthew Pearson June

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How to fill out form adv part 2b

01

To fill out Form ADV Part 2B, you can follow these steps:

02

Start by gathering all the relevant information about the firm, its key personnel, and services offered.

03

Begin with Section 1: Advisory Business, where you provide details about the firm's background, ownership, and any conflicts of interest.

04

Move on to Section 2: Investment Objectives, where you outline the firm's investment strategies, risk factors, and any material limitations.

05

Proceed to Section 3: Fees and Compensation, where you disclose how your firm charges fees, handles compensation, and any potential conflicts of interest.

06

Next, complete Section 4: Performance-Based Fees, if applicable, by providing information on any performance-based fees your firm charges clients.

07

Continue to Section 5: Methods of Analysis, where you describe the methodologies and criteria used for selecting investments on behalf of clients.

08

In Section 6: Disciplinary Information, disclose any legal or disciplinary events involving the firm or its key personnel from the past ten years.

09

Move on to Section 7: Other Financial Industry Activities and Affiliations, where you list any outside activities or affiliations of the firm.

10

Complete Section 8: Code of Ethics, by detailing your firm's code of ethics and any relevant policies in place.

11

Finally, review the form for accuracy, sign and date it, and make a copy for your records.

12

Remember to consult the official instructions and guidelines provided by the Securities and Exchange Commission (SEC) for detailed guidance while filling out Form ADV Part 2B.

Who needs form adv part 2b?

01

Form ADV Part 2B is required by investment advisers who provide advice to retail clients. Additionally, state-registered advisers or those applying for SEC registration will also need to complete this form. It is an essential disclosure document that helps clients understand the nature of the adviser's business, services, fees, and potential conflicts of interest.

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What is form adv part 2b?

Form ADV Part 2B is a disclosure document required to be filed by investment advisors registered with the SEC.

Who is required to file form adv part 2b?

Investment advisors registered with the SEC are required to file form ADV Part 2B.

How to fill out form adv part 2b?

Form ADV Part 2B can be filled out by providing detailed information about the advisor's services, fees, investment strategies, and any conflicts of interest.

What is the purpose of form adv part 2b?

The purpose of Form ADV Part 2B is to provide clients with important information about an investment advisor's practices and potential conflicts of interest.

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

Form ADV Part 2B must include information about an advisor's services, fees, disciplinary history, conflicts of interest, and other relevant details.

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