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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: MAI CAPITAL MANAGEMENT, LLC CRD Number: 109807OtherThanAnnual Amendment
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Start by gathering all the necessary information and documents that you will need to fill out the IAPD - Investment Adviser form.
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Read the instructions carefully and make sure you understand what is required for each section of the form.
03
Begin filling out the form by providing your personal information such as your name, address, and contact details.
04
Next, provide information about your investment advisory business including its name, address, and types of services offered.
05
Complete the sections on your business background, including any disciplinary history and legal proceedings.
06
Provide details about your education and professional qualifications in the relevant section.
07
If applicable, provide information about other businesses or affiliations you may have.
08
Complete the section on your clients and assets under management.
09
Finally, review the form for any errors or omissions and make sure all required fields are filled in.
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Sign and date the form before submitting it to the appropriate regulatory authority.

Who needs iapd - investment adviser?

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Individuals or firms who provide investment advice and are required to register with the appropriate regulatory authority as an investment adviser.
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Investment advisers who manage assets worth certain thresholds defined by regulatory authorities.
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Financial professionals who offer financial planning, retirement planning, portfolio management, or other investment advisory services.
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Companies or individuals who receive compensation for providing advice related to securities investments.
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IAPD stands for Investment Adviser Public Disclosure. It is a searchable online database that provides information on investment adviser firms and individual investment adviser representatives.
Investment adviser firms are required to file IAPD to provide transparency and disclosure to investors and regulatory authorities.
IAPD can be filled out online through the Investment Adviser Registration Depository (IARD) system.
The purpose of IAPD is to provide easy access to information about investment adviser firms and representatives for investors and regulatory authorities.
The information reported on IAPD includes details about an investment adviser firm's registration status, business activities, fees, services, and disciplinary history.
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