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Firm Brochure (Part 2A of Form ADV) First Capital Consulting, Inc. 175 Great Neck Road, Suite 250 Great Neck NY 11021 Tel: (516) 487-8220 Fax: (516) 829-4820 E-Mail: DHS fcequities.com MARCH 19, 2014,
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How to fill out form adv part 2a
How to fill out Form ADV Part 2A:
01
Start by gathering all the necessary information about your investment advisory firm. This includes details about your firm's ownership, structure, and services provided.
02
Fill out Section 1 - Identifying Information. This section asks for basic details about your firm such as its name, address, and contact information. Provide accurate and up-to-date information.
03
Proceed to Section 2 - SEC Registration. Here, you will indicate whether your firm is registering for the first time or updating an existing registration. Follow the instructions and provide the required information accordingly.
04
Complete Section 3 - Form of Organization. This section asks for details about your firm's legal structure, ownership, and any relevant affiliations. Answer all the questions accurately and truthfully.
05
Move on to Section 4 - Successions, Acquisitions, and Mergers. If your firm has undergone any changes in ownership or has been involved in any mergers or acquisitions, provide the necessary details in this section.
06
Fill out Section 5 - Information About Your Advisory Business. This section requires information about the types of clients you serve, the assets your firm manages, and the investment strategies employed. Be thorough and provide accurate information.
07
Proceed to Section 6 - Other Business Activities. If your firm engages in any other business activities outside of investment advisory services, this is the section to disclose that information. Answer the questions as required.
08
Complete Section 7 - Financial Industry Affiliations and Private Fund Reporting. This section is applicable if your firm is affiliated with any financial industry participants or if it is involved in managing private funds. Provide the required information accurately.
09
Move on to Section 8 - Other Financial Industry Activities and Affiliations. If your firm engages in any other financial industry activities or has additional affiliations, disclose this information in the appropriate sections.
10
Finally, review the completed form for any errors or omissions, ensuring that all sections have been filled out completely and accurately. Sign and date the form as required before submitting it to the appropriate regulatory authority.
Who needs Form ADV Part 2A?
01
Investment advisory firms: Any firm providing investment advisory services is required to complete and file Form ADV Part 2A with the appropriate regulatory authority. This includes firms registered with the Securities and Exchange Commission (SEC) as well as state-registered firms.
02
Registered investment advisers: Form ADV Part 2A is particularly relevant for registered investment advisers as it provides essential information about their business practices, services offered, fees, and potential conflicts of interest. It is a crucial disclosure document for clients and prospective clients.
03
Compliance professionals: Compliance professionals working for investment advisory firms need to be familiar with Form ADV Part 2A in order to help firms fill out the form accurately and ensure compliance with regulatory requirements. Understanding this form is a key aspect of their role in maintaining regulatory compliance for their firm.
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What is form adv part 2a?
Form ADV Part 2A is a disclosure document that provides clients with information about a registered investment advisor.
Who is required to file form adv part 2a?
Registered investment advisors are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out by providing detailed information about the investment advisor's business practices, fees, conflicts of interest, and more.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients with important information about their investment advisor so they can make informed decisions.
What information must be reported on form adv part 2a?
Form ADV Part 2A must include information about the investment advisor's services, fees, investment strategies, disciplinary history, and more.
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