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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CLC CAPITAL MANAGEMENT CRD Number: 132224Annual Amendment All Sections

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How to fill out exempt reporting adviser filing

01

To fill out the exempt reporting adviser filing, follow these steps:

02

Gather the necessary information, such as the adviser's identification details, certification details, and contact information.

03

Review the exempt reporting adviser form and familiarize yourself with the requirements and sections.

04

Complete each section of the form accurately and thoroughly. Provide all requested information, including any supporting documentation if required.

05

Double-check the completed form for any errors or omissions before submission.

06

Submit the filled-out exempt reporting adviser filing form to the appropriate regulatory authority or entity as per the guidelines provided.

Who needs exempt reporting adviser filing?

01

Exempt reporting adviser filing is required for investment advisers who qualify for an exemption from full registration with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940.

02

Generally, investment advisers who manage fewer than 15 clients in a 12-month period and do not hold themselves out to the public as investment advisers are eligible for the exempt reporting adviser status.

03

However, the specific eligibility criteria may vary depending on the jurisdiction and regulatory authority involved. It is advisable to consult relevant regulations and legal counsel to determine if filing as an exempt reporting adviser is required for a particular entity.

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What is exempt reporting adviser filing?

Exempt reporting adviser filing is a simplified filing for certain investment advisers who are exempt from full SEC registration.

Who is required to file exempt reporting adviser filing?

Investment advisers who qualify for the exemption under the Advisers Act are required to file exempt reporting adviser filing.

How to fill out exempt reporting adviser filing?

Exempt reporting adviser filing can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of exempt reporting adviser filing?

The purpose of exempt reporting adviser filing is to provide the SEC with basic information about an exempt reporting adviser's business.

What information must be reported on exempt reporting adviser filing?

Exempt reporting adviser filing typically requires basic information such as the adviser's contact information, services provided, and key personnel.

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