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Form ADV Part 2A Firm Brochure Item 1: Cover Page April 2014 Western Wealth Management LLC 14143 Denver West Parkway, Suite 510 Golden, CO 80401 (720) 354-5091 www.westernwealthmgmt.com Firm CRD×167344

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Start by obtaining Form ADV Part 2A from the U.S. Securities and Exchange Commission (SEC) website or from your investment adviser. This form is also known as the "brochure" and contains important information about the adviser, its services, fees, and potential conflicts of interest.
2. Begin by filling out the General Instructions section at the beginning of the form, providing basic information about the adviser, such as its name, address, and contact details.
3. Move on to the Required Disclosures section, where you will disclose any legal or disciplinary events involving the adviser or its key personnel, as well as information about its ownership and affiliations.
4. In the Advisory Business section, describe the nature of the adviser's business activities, including the types of services offered, the target market, and any material changes or developments.
5. Proceed to the Fees, Compensation, and Performance section, where you should detail how your firm charges fees, any compensation arrangements, and how you calculate or present investment performance to clients.
6. Next, complete the Methods of Analysis, Investment Strategies, and Risk of Loss section. Here, you should provide an overview of the methods your firm employs to analyze and select investments, as well as the strategies used and associated risks.
7. In the Disciplinary Information section, disclose any relevant legal or disciplinary actions taken against the adviser or its personnel, including criminal or civil proceedings, regulatory sanctions, or client complaints.
8. Move on to the Code of Ethics, Participation, or Interest in Client Transactions, and Personal Trading sections. Provide information about your firm's code of ethics, any conflicts of interest, and any personal trading policies in place.
9. Complete the Brokerage Practices section, detailing how your firm selects and uses brokers, and any conflicts of interest that may arise from these practices.
10. In the Custody section, describe how client funds and securities are held and safeguarded, including the name of the custodian and any arrangements in place to ensure client protection.
11. Proceed to the Proxy Voting section, where you should outline your firm's policies and procedures regarding proxy voting on behalf of clients.
12. Finally, complete the Additional Information section, providing any other relevant information about your advisory business that may be important for clients to know.

Who needs Form ADV Part 2A:

1. Registered Investment Advisers (RIAs): Any firm or individual acting as an investment adviser and managing over $100 million in assets is required to register with the SEC and file Form ADV, which includes Part 2A.
2. State-Registered Investment Advisers: In some cases, advisers managing assets below the SEC threshold may be required to register with their respective state securities authorities. These advisers also need to complete and file Form ADV Part 2A.
3. Financial Professionals: Individuals or entities providing investment advice for compensation are generally required to file Form ADV Part 2A, regardless of whether they are registered as investment advisers or not.

It is important to consult legal and regulatory resources and seek professional advice to ensure compliance and accuracy when filling out Form ADV Part 2A, as the specific requirements and regulations may vary based on individual circumstances and jurisdictions.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a document filed with the Securities and Exchange Commission (SEC) by investment advisors that provides information about the advisor's business practices, conflicts of interest, and disciplinary history.

Who is required to file form adv part 2a?

Investment advisors registered with the SEC are required to file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and prospective clients with key information about an investment advisor's business practices and conflicts of interest.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires information about an investment advisor's services, fees, disciplinary history, conflicts of interest, and background of key personnel.

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