Get the free FORM ADV Part 2A Firm Brochure Capital Retirement Plan Services ...

Item 1 Cover Page FORM ADV Part 2A Firm Brochure Capital Retirement Plan Services, Inc. 2700 S. Southeast Blvd. ? Suite 205 ? Spokane, WA ? 99223-4984, USA ? T 509.456.2526 ? TF 800.826.9803 ? F 509.456.2550

How to fill out form adv part 2a

How to Fill Out Form ADV Part 2A:

1. Gather the necessary information: Before starting to fill out Form ADV Part 2A, ensure that you have all the required information at hand. This includes the details of your firm, its business practices, disciplinary information, and other relevant data.
2. Provide general information about your firm: Start by entering basic information about your firm, such as its name, address, contact details, and the date the form is being filed.
3. Disclose your firm's ownership structure: Provide details about the ownership structure of your firm, including any subsidiaries or affiliates. Specify whether your firm is registered with the Securities and Exchange Commission (SEC) or a state-level authority.
4. Describe your firm's business practices: Explain the nature of your firm's business, including the types of clients you serve, the services you offer, and any additional activities conducted by your firm.
5. Disclose any disciplinary history: If your firm or any of its advisory personnel have been involved in any disciplinary actions, provide the necessary information. This includes any criminal, regulatory, or civil proceedings within the past ten years.
6. Explain your firm's fee structure: Describe how your firm charges fees, including any performance-based fees, commissions, or other compensation arrangements. Provide details about any potential conflicts of interest in your fee structure.
7. Detail your firm's investment strategies and methods: Outline the investment strategies and methods your firm employs, including any material risks associated with these strategies. Explain any conflicts of interest that may arise with these strategies.
8. Provide information about additional compensation: Disclose if your firm or its advisory personnel receive compensation from sources other than clients in connection with providing advisory services. This may include commissions or referral fees.
9. Describe your firm's brokerage practices: Explain how your firm selects brokers and determines the reasonableness of their compensation. If your firm participates in directed brokerage or soft dollar arrangements, provide relevant details.

Who needs Form ADV Part 2A?

Form ADV Part 2A is required for investment advisers registered with the SEC or state securities authorities. It serves as a disclosure document to provide clients and potential clients with information about the adviser's services, fees, potential conflicts of interest, and disciplinary history. By requiring investment advisers to file this form, regulatory bodies aim to enhance transparency and protect investors.

Remember to review the completed Form ADV Part 2A thoroughly for accuracy before submitting it to the appropriate regulatory authority.

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What is form adv part 2a?

Form ADV Part 2a is a form that investment advisers registered with the SEC must file. It provides information about the adviser, its business practices, and conflicts of interest.

Who is required to file form adv part 2a?

Investment advisers registered with the 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 the investment adviser, including its background, services offered, fees, and conflicts of interest.

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

Form ADV Part 2a must include information about the adviser's business practices, fees, conflicts of interest, disciplinary history, and other key disclosures.