Get the free Form ADV Part II - Beverly Hills Wealth Management

ITEM 1. COVER PAGE FOR PART 2A OF FORM ADV: FIRM BROCHURE DATED 12/31/2010 Beverly Hills Wealth Management, LLC (BHM) 9454 Wilshire Blvd., Ste. 710 Beverly Hills, CA 90210 Mag Black, Chief Compliance

How to fill out form adv part ii

How to fill out Form ADV Part II:

1. Familiarize yourself with the purpose of Form ADV Part II. This form is a disclosure document that registered investment advisers (RIAs) must provide to clients. It contains important information about the firm's services, fees, and potential conflicts of interest.
2. Start by providing basic identifying information about your firm. This includes its name, address, contact information, and any alternative names used. You may also need to provide your firm's CRD number, if applicable.
3. Describe your firm's investment strategies and the types of clients you typically serve. Be specific and provide clear explanations. Include details on any minimum investment requirements or limitations.
4. Outline the fees and compensation arrangements your firm offers. This includes management fees, performance-based fees, and any additional charges clients may incur. Be transparent about any conflicts of interest that may arise from these fee structures.
5. Disclose any other financial industry activities or affiliations your firm may have. This includes relationships with other investment advisers, broker-dealers, or service providers. Provide details on any shared ownership, control, or common employees.
6. Describe your firm's disciplinary history, if applicable. This includes any criminal, civil, or regulatory actions taken against the firm or its employees. Be thorough and provide explanations for each incident.
7. Explain your firm's code of ethics and any policies in place to prevent insider trading or unethical behavior. Also, disclose any business practices that may present conflicts of interest with your clients.
8. Provide information on your firm's key personnel, including their education, experience, and other business activities. It's important to include any potential conflicts of interest related to these individuals.
9. Finally, review the completed Form ADV Part II for accuracy and completeness before submitting it to the relevant regulatory authorities.

Who needs Form ADV Part II:

1. Registered investment advisers (RIAs) are required by the Securities and Exchange Commission (SEC) to complete and provide Form ADV Part II to their clients.
2. The form is necessary for any firm that meets the definition of an investment adviser as defined by the Investment Advisers Act of 1940.
3. Investment advisers managing at least $25 million in assets are required to register with the SEC and file Form ADV Part II. Smaller advisers may be subject to state-level registration requirements and may need to file the form with their respective state securities authorities.
4. Even if registration is not required, providing clients with a disclosure document similar to Form ADV Part II is considered a best practice and can help establish trust and transparency between the firm and its clients.

For pdfFiller’s FAQs

What is form adv part ii?

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

Who is required to file form adv part ii?

Investment advisers registered with the SEC or state securities authorities are required to file Form ADV Part 2.

How to fill out form adv part ii?

Form ADV Part 2 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part ii?

The purpose of Form ADV Part 2 is to provide clients and potential clients with important information about an investment adviser's business practices.

What information must be reported on form adv part ii?

Form ADV Part 2 requires information about an investment adviser's services, fees, disciplinary history, conflicts of interest, and other key aspects of the business.

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