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Firm Brochure (Part 2A of Form ADV)1001 S. Capital of Texas Highway, M100 Austin, TX 78746 PHONE: 8884341427 FAX: 5125249101 EMAIL: info×shadowridgeinvest.com WEBSITE: www.shadowridgeinvest.com This

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow these steps: 1. Begin by providing your firm's name, CRD number, and SEC file number at the top of the form. 2. Section 1 requires you to provide basic identifying information about your firm, including its address, phone number, and website. 3. In Section 2, you will be required to disclose information about your firm's ownership structure, including any individuals or entities that have a substantial stake in the firm. 4. Section 3 focuses on your firm's business and background details, including the types of advisory services you offer and the assets under management. 5. Section 4 delves into your firm's fee structure and compensation practices. 6. Section 5 requires you to disclose any conflicts of interest that may exist within your firm. 7. In Section 6, you will need to provide information about your firm's disciplinary history, if applicable. 8. Section 7 is dedicated to your firm's financial information, including balance sheets and income statements. 9. Section 8 focuses on your firm's key personnel, including their qualifications and background information. 10. Lastly, in Section 9, you will need to certify the accuracy and completeness of the information provided. 11. Review the filled-out form carefully and ensure all required fields are completed. 12. Sign and date the form before submitting it to the appropriate regulatory authority, such as the SEC or state securities regulator.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities regulators. It provides important information to clients and prospective clients about the firm's services, fees, and potential conflicts of interest. Therefore, investment advisers who are subject to SEC or state registration need to fill out Form ADV Part 2A.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment advisor, including services offered, fees charged, disciplinary history, and conflicts of interest.

Who is required to file form adv part 2a?

Investment advisors registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system by providing all the required information accurately.

What is the purpose of form adv part 2a?

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

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

Information such as an advisor's services, fees, disciplinary history, conflicts of interest, and other material information must be reported on Form ADV Part 2A.

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