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Wells Fargo Funds Management, LLC Form ADV Part 2A Firm Brochure One Front St, 22nd Floor San Francisco, CA 94111 (415) 3966122 www.wellsfargofunds.com March 30, 2018, As required by the Investment

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How to fill out investment advisers form adv

01

To fill out the investment advisers form ADV, follow these steps:

02

Start by providing the basic information about your firm, including its name, address, and organizational structure.

03

Indicate whether your firm is a state-registered or SEC-registered investment adviser.

04

Provide details about your firm's ownership and control, including the names and background information of key individuals.

05

Describe your firm's investment advisory services, including the types of clients you serve and the strategies you employ.

06

Disclose any conflicts of interest that may exist, such as affiliations with other financial institutions.

07

Outline your firm's fee structure and describe how you calculate and collect fees from clients.

08

Provide information about your firm's disciplinary history and any legal or regulatory actions that have been taken against it.

09

Attach any required additional documents or disclosures.

10

Review and double-check all the information provided before submitting the form.

11

Submit the completed form electronically or through the designated submission method.

Who needs investment advisers form adv?

01

Investment advisers form ADV is needed by individuals or firms who want to register with the Securities and Exchange Commission (SEC) or state securities authorities as an investment adviser.

02

It is a requirement for investment advisers who exceed certain thresholds of assets under management (AUM) or have clients in multiple states.

03

Registered investment advisers must file form ADV to provide the necessary information about their firm, its business practices, and potential conflicts of interest to regulatory authorities.

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What is investment advisers form adv?

Investment advisers form adv is a form that investment advisers registered with the SEC must file. It provides essential information about the adviser and its business to the regulatory authorities.

Who is required to file investment advisers form adv?

Investment advisers who are registered with the SEC are required to file form adv.

How to fill out investment advisers form adv?

Investment advisers can fill out form adv online through the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of investment advisers form adv?

The purpose of investment advisers form adv is to provide transparency and ensure regulatory compliance by disclosing important information about the adviser.

What information must be reported on investment advisers form adv?

Information such as the adviser's assets under management, fee schedules, disciplinary history, and business activities must be reported on form adv.

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