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FormADVPart2A(FirmBrochure) HORANWealthManagement 4990EastGalbraithRoad Cincinnati,OH45236 513.745.0707 www.horanassoc.com January1,2018 ThisdocumentprovidesinformationaboutthequalificationsandbusinesspracticesofHORANWealth
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How to fill out form adv - horan
How to fill out form adv - horan
01
To fill out Form ADV-Horan, follow these steps:
02
Start by providing your personal information, such as your name, address, and contact details.
03
Specify whether you are an individual or a company, and provide all relevant details accordingly.
04
Fill out the sections related to your advisory business, including information about your firm's structure, services offered, and fees charged.
05
Disclose any conflicts of interest or legal issues that may affect your ability to provide unbiased advice to clients.
06
Provide information about your employees, including their qualifications and any disciplinary history.
07
Attach any necessary supporting documentation, such as your firm's brochures or promotional materials.
08
Review the completed form to ensure accuracy and make any necessary revisions.
09
Sign and date the form, certifying that the information provided is true and accurate.
10
Submit the form to the appropriate regulatory authority or compliance department.
Who needs form adv - horan?
01
Form ADV-Horan is required for investment advisors who are subject to the Investment Advisers Act of 1940.
02
It is necessary for individuals or firms engaged in the business of providing investment advice to clients for compensation.
03
If you fall under the definition of an investment advisor as defined by the SEC or state securities authorities, you will need to file Form ADV-Horan.
04
This includes registered investment advisors (RIAs), financial planners, and certain hedge fund managers.
05
Form ADV-Horan helps regulatory authorities and potential clients understand the nature of your advisory business and the services you offer.
06
It also helps ensure compliance with applicable laws and regulations governing the investment advisory industry.
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What is form adv - horan?
Form ADV is a required submission by investment advisers to the Securities and Exchange Commission. There is no specific form ADV - Horan, it is likely a typo or a reference to a specific firm or individual.
Who is required to file form adv - horan?
Investment advisers who meet certain criteria are required to file Form ADV with the Securities and Exchange Commission.
How to fill out form adv - horan?
To fill out Form ADV, investment advisers must provide information about their business practices, conflicts of interest, and other key details about their operations.
What is the purpose of form adv - horan?
The purpose of Form ADV is to provide transparency and disclosure to clients and regulators regarding an investment adviser's business practices.
What information must be reported on form adv - horan?
Information that must be reported on Form ADV includes details about an investment adviser's business structure, fees, services, and any disciplinary history.
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