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OMB APPROVALSE18006863OMB Number: 32350123 Expires: August 31, 2020, Estimated average burdenANNUAL AUDITED REPORT hoursperresponse......12.00 FORM X17A5 “a!! R. 'One. SEC FILENAME PART little Sectionssin9
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Online Form ADV part is typically needed by registered investment advisers (RIAs) who are required to file with the Securities and Exchange Commission (SEC). It is also relevant for certain exempt reporting advisers (ERAs) who provide investment advisory services. These financial professionals use the form to provide information about themselves, their business, and their investment strategies to regulatory authorities and potential clients.
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Online form adv part is a form that investment advisers registered with the SEC must file to provide information about their firm.
Investment advisers registered with the SEC are required to file online form adv part.
Online form adv part can be filled out electronically on the SEC's Investment Adviser Registration Depository (IARD) system.
The purpose of online form adv part is to provide the SEC and clients with information about the investment adviser's business and operations.
Online form adv part requires information about the investment adviser's business practices, services offered, conflicts of interest, and disciplinary history.
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