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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION Primary Business Name: WINDY CITY WEALTH MANAGEMENT LLC CRD Number: 149857ADV State Initial, Page 1Rev. 11/20101/19/2011 1:50:39 PM
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01
To fill out Form ADV - Financial, follow these points:
02
Start by providing your basic information such as your name, address, and contact details.
03
Indicate whether you are filing the form as an individual or on behalf of a company.
04
Specify the type of financial services you offer.
05
Provide details about your firm's ownership structure and organizational hierarchy.
06
Disclose any previous disciplinary actions or regulatory sanctions against your firm.
07
Outline the fee structure and compensation arrangements for your services.
08
Describe any potential conflicts of interest and how you mitigate them.
09
Provide information about your clients, including the number and types of clients you serve.
10
Submit any additional required documents or attachments, such as financial statements or disclosure brochures.
11
Review the completed form thoroughly before submitting it to ensure accuracy and compliance with regulations.
Who needs form adv - financial?
01
Form ADV - Financial is required for financial advisors, investment advisers, and firms in the financial industry.
02
Any individual or company providing financial advice, managing investments, or offering financial planning services needs to fill out this form.
03
It is a regulatory requirement by the Securities and Exchange Commission (SEC) for firms that meet certain thresholds or operate as registered investment advisers.
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What is form adv - financial?
Form ADV - Financial is a regulatory form used by investment advisers to provide information about their business, ownership, and financial status to the Securities and Exchange Commission (SEC) and state regulators.
Who is required to file form adv - financial?
Investment advisers who manage assets above a certain threshold, or those who meet specific regulatory requirements, are required to file Form ADV - Financial.
How to fill out form adv - financial?
To fill out Form ADV - Financial, advisers need to provide detailed information about their business practices, services offered, assets under management, fee structures, and any disciplinary history. The form must be completed electronically through the Investment Adviser Registration Depository (IARD).
What is the purpose of form adv - financial?
The purpose of Form ADV - Financial is to ensure transparency in the investment advisory industry by providing critical information to regulators and clients, allowing them to assess the adviser's qualifications and business practices.
What information must be reported on form adv - financial?
Form ADV - Financial requires reporting of information such as the adviser's business structure, ownership, services provided, assets under management, fee arrangements, and any legal or disciplinary actions.
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