Get the free Form ADV Part 2(A) (March 2, 2018)

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Part 2A of Form ADV: Firm Brochure Item 1: Cover Page Stephen H. McDonald & Associates, Inc. 2200 McGown Drive Norman, Oklahoma 73072 Voicemail: (405) 3290123 Fax: (405) 3290808 Email: Fisher McDonald.net

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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 filling out the General Instructions section at the beginning of the form. This section includes general information about your firm.

03

Moving on, fill out the Items section. Each item requires specific information about your firm's business practices, services offered, fees, disciplinary history, clients, etc. Follow the instructions provided for each item carefully.

04

In the Miscellaneous Section, provide additional information such as principal office locations, financial industry affiliations, and custodians.

05

Complete the Brochure Supplement section if applicable. This section requires information about supervised persons providing investment advice on behalf of your firm.

06

Finally, review the completed form and make sure all information is accurate and up to date. Sign and date the form to certify its accuracy.

07

Remember to keep a copy of the completed form for your records.

Who needs form adv part 2a?

01

Form ADV Part 2A is needed by registered investment advisers (RIAs) who are required to register with the U.S. Securities and Exchange Commission (SEC) or individual state securities authorities.

02

RIAs with assets under management (AUM) of $100 million or more must register with the SEC and file Form ADV Part 2A. RIAs with AUM below $100 million may need to file with state securities authorities depending on the state's regulations.

03

Form ADV Part 2A is necessary to provide clients and potential clients with detailed information about the firm's services, fees, conflicts of interest, disciplinary history, and other important aspects of the advisory relationship.

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What is form adv part 2a?

Form ADV Part 2A is a document that provides information about an investment adviser's services, fees, and conflicts of interest.

Who is required to file form adv part 2a?

Investment advisers registered with the Securities and Exchange Commission (SEC) 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 adviser's business practices and potential conflicts of interest.

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

Form ADV Part 2A requires investment advisers to disclose information such as their services, fees, educational background, and disciplinary history.

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