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Form ADV Part 2 Brochure Dated March 29, 2018Goelzer Investment Management, Inc. 111 Monument Circle, Suite 500 Indianapolis, IN 46204 Phone Number (317) 2642600 www.goelzerinc.comThis Form ADV Part
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How to fill out form adv - goelzer
How to fill out form adv - goelzer
01
To fill out Form ADV - Goelzer, follow these steps:
02
Obtain a copy of the form. It can be found on the official website of the U.S. Securities and Exchange Commission (SEC).
03
Gather all the necessary information and documents required to complete the form. This may include details about your investment advisory business, such as its structure, services offered, and key personnel.
04
Start filling out the form by providing basic information about your firm, including its name, address, and contact details.
05
Enter details about your business activities, such as the types of clients you serve, the assets you manage, and the investment strategies you employ.
06
Provide information about your employees and affiliated persons, including their qualifications and any disciplinary history.
07
Complete the sections related to your fee structure, compensation, and potential conflicts of interest.
08
Review the form carefully to ensure all the information is accurate and up to date.
09
Sign and date the form.
10
Submit the completed Form ADV - Goelzer to the SEC as per their instructions.
Who needs form adv - goelzer?
01
Form ADV - Goelzer is required for individuals and firms who are engaged in providing investment advisory services.
02
It is specifically applicable to those registered with the U.S. Securities and Exchange Commission (SEC) as investment advisors.
03
Filing Form ADV allows the SEC and other regulators to monitor and regulate the activities of investment advisors, ensuring compliance with relevant laws and regulations.
04
Therefore, any individual or firm operating as an investment advisor and subject to SEC regulation needs to fill out Form ADV - Goelzer.
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What is form adv - goelzer?
Form ADV is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) or state securities authorities. Goelzer is likely a specific adviser or firm that uses Form ADV.
Who is required to file form adv - goelzer?
Investment advisers who meet certain criteria are required to file Form ADV with the SEC or state securities authorities. Specifically, those advisers who manage assets exceeding a certain threshold.
How to fill out form adv - goelzer?
Form ADV can be filled out electronically on the Investment Adviser Registration Depository (IARD) system. The form requires information about the adviser's business, fees, conflicts of interest, and disciplinary history.
What is the purpose of form adv - goelzer?
The purpose of Form ADV is to provide clients and regulators with important information about an investment adviser, including the services they offer, fees they charge, and any disciplinary history they may have.
What information must be reported on form adv - goelzer?
Form ADV requires advisers to disclose information such as their assets under management, fee schedule, types of clients they serve, conflicts of interest, and any legal or disciplinary events from the past 10 years.
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