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Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page James S. Davis, III Investment Advisor Representative, Financial Benefit Services Corp. 2401 Congress Street, Unit 3, Portland, Maine 04102
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How to fill out item1cover page form adv
01
To fill out the item1cover page form adv, start by providing your firm's name, address, CIK number, and SEC file number at the top section of the form.
02
Fill in the name and contact information of the individual who is primarily responsible for your firm's investment advisory business.
03
Indicate whether your firm is an SEC-registered investment adviser or is subject to state regulation.
04
If your firm is based outside the United States, provide details about the members of your advisory personnel overseeing your US clients.
05
Disclose any additional entities related to your firm and their involvement in providing investment advisory services.
06
Specify whether your firm is participating in wrap fee programs and provide information about the sponsor(s) of those programs.
07
Provide brief descriptions of your firm's direct and indirect owners, including their names, addresses, and percentage of ownership.
08
Detail your firm's assets under management (AUM), including the total AUM, the amount attributable to non-US clients, and the AUM in wrap fee programs.
09
If your firm has any related persons who are solicitors, describe their compensation arrangements and the potential conflicts of interest.
10
Disclose the types of clients your firm primarily serves, such as individuals, high net worth individuals, or institutional clients.
11
Indicate whether your firm provides services beyond investment advisory services, such as financial planning or pension consulting.
12
If your firm or any of its advisory persons have been involved in any legal or disciplinary events, provide detailed explanations and any required attachments.
As for who needs the item1cover page form adv, any investment adviser registered with the SEC or subject to state regulation is required to fill out this form. It helps provide essential information about the firm's structure, ownership, services, and potential conflicts of interest to regulatory authorities and clients.
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What is item1cover page form adv?
Item1cover page form adv is a form required to be filed by investment advisors with the Securities and Exchange Commission (SEC) as part of their Form ADV registration.
Who is required to file item1cover page form adv?
Investment advisors who are registered with the SEC are required to file item1cover page form adv.
How to fill out item1cover page form adv?
Item1cover page form adv must be completed with accurate and up-to-date information about the investment advisor's business, services, and compliance processes.
What is the purpose of item1cover page form adv?
The purpose of item1cover page form adv is to provide the SEC and clients with key information about the investment advisor's business operations and compliance practices.
What information must be reported on item1cover page form adv?
Item1cover page form adv requires information such as the investment advisor's contact details, services offered, assets under management, and any disciplinary history.
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