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Item 1: Cover Waveform ADV Part 2A Investment Adviser Brochure July 2018 All the material within this Brochure must be reviewed by those who are considering becoming a client of our firm. This Brochure

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow these steps:

02

Start by providing your firm's name, CRD/IARD Number, and SEC file number.

03

Enter the date on which your fiscal year ends and the date when your form is being prepared.

04

Specify whether you are filing an initial form or an amended form.

05

Provide the contact information for your firm, including address, phone number, and website details.

06

Indicate the types of financial services your firm offers and describe your firm's investment strategies.

07

Provide information about your firm's employees and their educational and professional backgrounds.

08

Disclose any disciplinary events or legal actions involving your firm or its employees.

09

Describe any potential conflicts of interest that may arise in your firm's advisory services.

10

Explain the fees charged by your firm and any methods used to calculate those fees.

11

Provide information about your firm's custody of client assets and its policies on asset valuation.

12

Disclose any affiliations or relationships your firm has with other financial entities.

13

Complete the required signature and verification section.

14

Review the completed form for accuracy and ensure all required information is provided.

15

File the form electronically through the IARD system or submit a hard copy to the SEC.

16

Maintain a copy of the completed form for your records.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for investment advisors who are registered with the Securities and Exchange Commission (SEC) or state securities authorities.

02

It is necessary for firms that provide advisory services to individual clients, including managing portfolios and giving financial advice.

03

Investment advisors managing assets of $25 million or more are required to file Form ADV with the SEC, while advisors managing less than $25 million generally register with state securities authorities.

04

Form ADV Part 2A helps provide transparency to clients by disclosing information about the advisor's business practices, conflicts of interest, fees, and disciplinary history.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document required to be filed by investment advisers with the Securities and Exchange Commission (SEC) or state securities regulators.

Who is required to file form adv part 2a?

Investment advisers registered with the SEC or state securities regulators are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A is filled out by providing information about the investment adviser's business practices, conflicts of interest, fees, and services offered to clients.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with information about an investment adviser's business practices, fees, and conflicts of interest.

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

Information required to be reported on Form ADV Part 2A includes business practices, fees, services offered, and conflicts of interest.

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