Get the free Form ADV, Part 1A - SEC.gov

FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: OREGON FINANCIAL PRODUCTS & SERVICES, LLC CRD Number: 155852Annual Amendment

How to fill out form adv part 1a

How to fill out form adv part 1a

1. Begin by obtaining the necessary Form ADV Part 1A from the Securities and Exchange Commission (SEC) website.
2. Carefully read through the instructions and make sure you understand the requirements for each section of the form.
3. Start by providing your firm's identifying information, such as name, address, and contact details.
4. Indicate the type of business you are engaged in and the services you offer.
5. Disclose any additional activities your firm is involved in, such as affiliations or associations.
6. Provide information about your firm's ownership structure, including details about partners, executive officers, and directors.
7. Explain any disciplinary history or conflicts of interest that may apply to your firm.
8. Detail your firm's fee structure, including any performance-based fees or compensation arrangements.
9. Provide information about the custody of client assets, if applicable.
10. Complete any other relevant sections, such as information about each of your firm's advisory representatives.
11. Review the completed form for accuracy and completeness.
12. Make a copy of the completed form for your records.
13. Submit the form electronically through the SEC's Investment Adviser Registration Depository (IARD) system.
14. Pay any required filing fees, if applicable.

Who needs form adv part 1a?

1. Form ADV Part 1A is required for any investment adviser that is registered with the SEC or is required to be registered. It is a legal requirement for investment advisers to properly disclose their firm's operations, services, conflicts of interest, and other relevant information to the SEC and their clients.
2. In general, any investment adviser operating in the United States and managing assets above certain thresholds must file Form ADV Part 1A. This includes both domestic and foreign advisers that meet the registration requirements set by the SEC.

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What is form adv part 1a?

Form ADV Part 1A is a required disclosure document for investment advisors registered with the Securities and Exchange Commission (SEC).

Who is required to file form adv part 1a?

Investment advisors registered with the SEC are required to file Form ADV Part 1A.

How to fill out form adv part 1a?

Form ADV Part 1A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 1a?

The purpose of Form ADV Part 1A is to provide key information about the investment advisor's business practices, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 1a?

Form ADV Part 1A requires information about an investment advisor's ownership, clients, employees, and business practices.