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DISCLOSURE DOCUMENT FORM ADV PART 2A Registered Investment Adviser s Name: Healthcare Capital Management LLC IARD/CRD Number: 111119 SEC File Number: 801-60183 Main Office Mailing Address: 600 East
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How to Fill Out Disclosure Document Form ADV:
01
Begin by carefully reading the instructions provided with the form. These instructions will provide guidance on how to complete each section accurately.
02
The first section of the form will require you to provide general information about your firm, including its name, address, and contact details. Ensure that all the information provided is up to date and correct.
03
Moving on, you will need to disclose any disciplinary information associated with your firm or its employees. This includes any legal or regulatory actions taken against you or your employees in the past.
04
The form also requires you to detail your firm's advisory services and investment strategies. Provide a clear and concise description of the services you offer and the types of investments you specialize in.
05
It is essential to disclose any conflicts of interest that may exist. This includes any financial arrangements or affiliations that could potentially influence your advice to clients.
06
In the next sections, you will be asked to provide information about your firm's fee structure, including any fees or commission charges. Ensure that you accurately disclose all fees, including any potential hidden costs.
07
You will also need to disclose any custodians or third-party service providers you work with. This includes disclosing any potential risks or conflicts that may arise from these relationships.
08
Finally, review the completed form to ensure that all sections have been accurately filled out. Make sure to sign and date the form before submitting it.
Who Needs Disclosure Document Form ADV:
01
Investment advisors registered with the Securities and Exchange Commission (SEC) are required to fill out the Form ADV. This includes firms managing a certain level of assets or providing services to a specific number of clients.
02
Some states also require investment advisors to file the Form ADV with state authorities if they do not meet the SEC registration thresholds.
03
It is important for investment advisors to determine whether they meet the criteria for filing the Form ADV based on their business activities and jurisdiction regulations. Compliance with the form is crucial to ensure transparency and disclose vital information to clients and regulatory bodies.
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What is disclosure document form adv?
Disclosure Document Form ADV is a uniform form used by investment advisors to register with the Securities and Exchange Commission (SEC) and state securities authorities. It consists of two parts: Part 1 and Part 2.
Who is required to file disclosure document form adv?
Investment advisors who manage assets of $25 million or more are required to file Disclosure Document Form ADV with the SEC. Advisors who manage less than $25 million must file with state securities authorities.
How to fill out disclosure document form adv?
Investment advisors can fill out Disclosure Document Form ADV electronically through the Investment Advisor Registration Depository (IARD) system. The form requires detailed information about the advisor's business, fees, disciplinary history, and more.
What is the purpose of disclosure document form adv?
The purpose of Disclosure Document Form ADV is to provide transparency to clients and regulators about an investment advisor's business practices, background, and potential conflicts of interest.
What information must be reported on disclosure document form adv?
Information that must be reported on Disclosure Document Form ADV includes the advisor's business activities, ownership structure, fees, disciplinary history, conflicts of interest, and more.
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