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Item 1 Cover Waveform ADV Part 2A Brochure Resource Group Wealth Management, Leading Business As:The Pension Group125 Damascus Road Marysville, OH 43040 6144234600 www.thepensiongroup.com May 15,

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How to fill out form adv part 2a

01

Step 1: Gather all necessary information and documents required for filling out Form ADV Part 2A.

02

Step 2: Begin by entering basic information about your firm, such as its name, address, and contact details.

03

Step 3: Provide details about your firm's ownership, including the names and addresses of any individuals or companies that have a direct or indirect ownership interest in your firm.

04

Step 4: Disclose any disciplinary events or legal proceedings involving your firm or its employees.

05

Step 5: Describe the types of advisory services your firm offers, including the strategies, methods, and any specializations.

06

Step 6: Provide information about any affiliations or relationships your firm has with other financial services providers.

07

Step 7: Disclose any compensation arrangements, including the fees your firm charges and the methods used to calculate them.

08

Step 8: Describe your firm's investment strategies and the types of investments your firm typically recommends to clients.

09

Step 9: Provide details about your firm's business practices, such as how you select and monitor investments, and how you handle conflicts of interest.

10

Step 10: Include any additional information or disclosures required by the form.

11

Step 11: Review the completed form for accuracy and completeness before submitting it.

Who needs form adv part 2a?

01

Form ADV Part 2A is required for registered investment advisers (RIAs) and certain exempt reporting advisers (ERAs) under the United States Securities and Exchange Commission (SEC) regulations.

02

RIAs and ERAs who meet the threshold requirements for assets under management or who provide advisory services to certain types of clients are required to file Form ADV Part 2A.

03

It is important for RIAs and ERAs to consult with legal and compliance professionals to determine their specific obligations and whether they need to file 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's business practices, fees, services, and conflicts of interest.

Who is required to file form adv part 2a?

Investment advisors registered with the Securities and Exchange Commission (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 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

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

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

Form ADV Part 2A requires investment advisors to disclose information about their business practices, fees, services, disciplinary history, and conflicts of interest.

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