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Promenade, LLC 130 E. Randolph St. Suite 2825 Chicago, IL 60601 (312) 4560665 www.promanageplan.com Form ADV Part 2A Brochure for All Services 03/23/2020 This brochure provides information about the

How to fill out form adv part 2a

How to fill out form adv part 2a

1. To fill out Form ADV Part 2A, follow these steps:
2. Review the instructions: Before starting, carefully read the instructions provided by the Securities and Exchange Commission (SEC) for completing Form ADV Part 2A.
3. Gather necessary information: Collect all the relevant information about your firm, including its name, address, contact details, and registration number.
4. Provide background information: Fill in the required fields with information about your firm's history, ownership, and any disciplinary events.
5. Describe your business: Explain the nature of your advisory services, the types of clients you serve, and the fee structure you use.
6. Disclose conflicts of interest: Be transparent about any conflicts of interest that may exist, such as receiving compensation for recommending certain products.
7. Include financial information: Provide details about your assets under management (AUM), your fees, and any financial statements that may be required.
8. Provide additional information: Answer any additional questions asked on the form, including those related to advertising, performance reporting, and client privacy.
9. Review and submit: Carefully review all the information you have entered to ensure accuracy and completeness. Once reviewed, submit the form to the SEC as per their instructions.

Who needs form adv part 2a?

1. Form ADV Part 2A is required by investment advisory firms registered with the Securities and Exchange Commission (SEC) or state securities authorities in the United States.
2. Specifically, investment advisers who manage at least $25 million in regulatory assets under management or who provide advice to registered investment companies are required to file Form ADV Part 2A with the SEC.
3. Additionally, some state securities authorities may also require filing Form ADV Part 2A for advisers who have less than $25 million in regulatory assets under management.
4. Filing Form ADV Part 2A is an essential compliance requirement for investment advisers, and failure to file or provide accurate information may result in legal consequences.

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