Get the free FPG Form ADV Part 2 - 3-27-19
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Item1CoverPage FocusPlanningGroup, LLC RegisteredInvestmentAdvisor FocusPlanningGroup, LLC 14HollinsLane Bay port,NY11705 (631)7146044Ext302 www.focusplanninggroup.net FormADVPart2A FirmBrochure March27,2019
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How to fill out fpg form adv part
How to fill out fpg form adv part
01
To fill out the FPG Form ADV Part, follow these steps:
02
Start by providing basic information about your firm, such as its name, address, and contact details.
03
Indicate whether your firm is registered with the SEC or state securities authorities.
04
Disclose any key individuals in your firm, including their names, titles, and roles.
05
Describe your firm's ownership structure, including the percentage of ownership held by each person or entity.
06
Provide information about your firm's advisory business, including the types of clients you serve and the services you offer.
07
Disclose any outside business activities or affiliations that may present conflicts of interest.
08
Answer questions about your firm's compensation arrangements, fee schedule, and potential conflicts of interest.
09
Disclose any disciplinary history or legal actions involving your firm or its key personnel.
10
Provide information about any other material facts relevant to your firm's business operations.
11
Review the completed form for accuracy and completeness before submitting it to the appropriate regulatory authority.
Who needs fpg form adv part?
01
Firms that provide investment advisory services and meet certain criteria need to fill out the FPG Form ADV Part. The form is required by the U.S. Securities and Exchange Commission (SEC) or state securities authorities for the purpose of regulatory oversight and maintaining investor protection. It helps regulators and potential clients understand the nature of the firm's business, its key personnel, and any conflicts of interest that may exist. By completing the form, firms demonstrate transparency and compliance with regulatory requirements.
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What is fpg form adv part?
FPG Form ADV Part is a form used by investment advisors to register with the SEC and provide information about their business operations.
Who is required to file fpg form adv part?
Investment advisors that manage more than $25 million in assets are required to file FPG Form ADV Part with the SEC.
How to fill out fpg form adv part?
Filling out FPG Form ADV Part involves providing information about the advisor's business practices, fees, conflicts of interest, and other important details.
What is the purpose of fpg form adv part?
The purpose of FPG Form ADV Part is to provide transparency to clients and regulators about the operations of an investment advisor.
What information must be reported on fpg form adv part?
Information reported on FPG Form ADV Part includes details about the advisor's assets under management, fees, services offered, conflicts of interest, disciplinary history, and more.
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