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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: LGM INVESTMENTS CRD Number: 160460Annual Amendment All Sections Rev.
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How to fill out exempt reporting adviser filing

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How to fill out exempt reporting adviser filing

01
To fill out exempt reporting adviser filing, follow these steps:
02
Gather all the required information and documents, such as the adviser's identification information, financial statements, and Form ADV.
03
Access the Securities and Exchange Commission (SEC) website and navigate to the Electronic Filing Depository (EFD) system.
04
Create an account on the EFD system if you haven't already done so.
05
Log in to your EFD account and select the option to file a new exempt reporting adviser filing.
06
Carefully complete all the sections of the filing, providing accurate and up-to-date information.
07
Double-check your entries to ensure they are correct and complete.
08
Upload any necessary documents or attachments as required by the filing.
09
Review the filing one last time for accuracy and completeness.
10
Submit the filing through the EFD system.
11
Pay any applicable filing fees if required.
12
Keep a copy of the filed exempt reporting adviser filing for your records.
13
Monitor and respond to any correspondence or inquiries from the SEC regarding the filing.

Who needs exempt reporting adviser filing?

01
Exempt reporting adviser filing is needed by certain investment advisers who meet the criteria for exemption from full registration with the SEC.
02
In general, investment advisers who are exempt from registration but still fall under the reporting requirements of the Investment Advisers Act of 1940 must file as an exempt reporting adviser.
03
Specifically, investment advisers who meet the definition of exempt reporting adviser as defined by rule 204-4 under the Advisers Act need to file.
04
It's important to consult the SEC's guidelines, rules, and regulations, as well as seek professional advice, to determine if your firm needs to file as an exempt reporting adviser.
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Exempt reporting adviser filing is a simplified reporting requirement for certain investment advisers who are exempt from SEC registration.
Investment advisers who are exempt from SEC registration are required to file exempt reporting adviser filing.
Exempt reporting adviser filing can be filled out electronically using the SEC's IARD system.
The purpose of exempt reporting adviser filing is to provide basic information about exempt advisers to the SEC and investors.
Exempt reporting adviser filing requires information such as a list of clients, assets under management, and any disciplinary history.
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