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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: JOHNSON WEALTH INC.CRD Number: 125557OtherThanAnnual Amendment All Sections
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How to fill out form adv part 1a
How to fill out form adv part 1a
01
To fill out Form ADV Part 1A, follow these steps:
02
Begin by providing your firm's identifying information, including its legal name, address, and contact details.
03
Specify the type of organization your firm is, such as a sole proprietorship, partnership, or corporation.
04
Indicate the type of business your firm conducts, such as investment advisory, financial planning, or portfolio management.
05
Provide details of your firm's ownership structure, including any parent companies or subsidiaries.
06
Disclose information about your firm's employees, including their qualifications, job roles, and any disciplinary history.
07
Describe your firm's compensation structure and any fee arrangements you have with clients.
08
Report any conflicts of interest that may exist, including relationships with affiliates or potential conflicts related to compensation arrangements.
09
Provide details of your firm's assets under management (AUM), including both regulatory assets under management (RAUM) and assets that are not subject to regulatory oversight.
10
Disclose any legal or disciplinary events that have occurred in the past 10 years involving your firm or its employees.
11
Complete the required certifications and sign the form.
12
Remember to review the instructions provided by the Securities and Exchange Commission (SEC) for additional guidance on filling out Form ADV Part 1A.
Who needs form adv part 1a?
01
Form ADV Part 1A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC) or applicable state securities authorities. It is used to provide key information about the adviser's business structure, investment strategies, and potential conflicts of interest. Both new registrants and existing registrants are required to file this form periodically, usually on an annual basis. It helps regulatory authorities and potential clients understand the adviser's background and operations.
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