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Form ADV Part 2A Firm Brochure ADV Part 2B Clare Fazackerley ADV Part 2B James R Iverson (updated 1/1/19)1/12/2019IARD Form ADV, Identifying Information Section Username: cfazackerley, Org ID: 175364

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How to fill out adv part 2-a firm

01

To fill out adv part 2-a firm, follow these steps:

02

Start by entering the name of your firm in the appropriate field.

03

Provide your firm's address and contact information.

04

Fill in the details about your firm's background, including its history, services offered, and any relevant experience.

05

Specify the type of clients your firm serves and the investment strategies you employ.

06

Describe any affiliations or relationships your firm has with other financial institutions or professionals.

07

Outline the fee structure for your firm's services and any potential conflicts of interest.

08

Provide information about your firm's key personnel, including their qualifications and experience.

09

Include any additional disclosures or information that may be required by regulatory authorities.

10

Review the completed form for accuracy and completeness before submitting it.

11

Sign and date the form, certifying the information provided is true and accurate.

12

Submit the filled out adv part 2-a firm to the relevant regulatory body or authority.

Who needs adv part 2-a firm?

01

Adv part 2-a firm is needed by investment advisory firms that are required to register with the Securities and Exchange Commission (SEC) or state securities regulators.

02

These firms typically manage assets on behalf of clients and provide investment advice. They must comply with regulatory requirements to ensure transparency and protect investors' interests.

03

Other entities that may need adv part 2-a firm include financial institutions, wealth management firms, and firms offering financial planning services.

04

The specific regulatory requirements and obligations may vary depending on the jurisdiction and nature of the firm's operations.

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What is adv part 2-a firm?

Adv Part 2A firm is a disclosure document filed by investment advisers with the Securities and Exchange Commission (SEC) that provides information about the firm's business practices, services offered, fees charged, and conflicts of interest.

Who is required to file adv part 2-a firm?

Investment advisers registered with the SEC are required to file Adv Part 2A firm.

How to fill out adv part 2-a firm?

Adv Part 2A firm can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of adv part 2-a firm?

The purpose of Adv Part 2A firm is to provide clients and potential clients with important information about the investment adviser's practices and services.

What information must be reported on adv part 2-a firm?

Adv Part 2A firm must include information such as the adviser's services, fees, disciplinary history, conflicts of interest, and other key details about the firm.

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