Get the free Form ADV - the Investment Adviser Registration Depository
Show details
FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: BROADWAY FINANCIAL, LLC CRD Number: 117480Annual Amendment All Sections
We are not affiliated with any brand or entity on this form
Get, Create, Make and Sign form adv - form
Edit your form adv - form form online
Type text, complete fillable fields, insert images, highlight or blackout data for discretion, add comments, and more.
Add your legally-binding signature
Draw or type your signature, upload a signature image, or capture it with your digital camera.
Share your form instantly
Email, fax, or share your form adv - form form via URL. You can also download, print, or export forms to your preferred cloud storage service.
Editing form adv - form online
Use the instructions below to start using our professional PDF editor:
1
Register the account. Begin by clicking Start Free Trial and create a profile if you are a new user.
2
Prepare a file. Use the Add New button. Then upload your file to the system from your device, importing it from internal mail, the cloud, or by adding its URL.
3
Edit form adv - form. Add and replace text, insert new objects, rearrange pages, add watermarks and page numbers, and more. Click Done when you are finished editing and go to the Documents tab to merge, split, lock or unlock the file.
4
Save your file. Select it in the list of your records. Then, move the cursor to the right toolbar and choose one of the available exporting methods: save it in multiple formats, download it as a PDF, send it by email, or store it in the cloud.
It's easier to work with documents with pdfFiller than you can have ever thought. You may try it out for yourself by signing up for an account.
Uncompromising security for your PDF editing and eSignature needs
Your private information is safe with pdfFiller. We employ end-to-end encryption, secure cloud storage, and advanced access control to protect your documents and maintain regulatory compliance.
How to fill out form adv - form
How to fill out form adv - form
01
To fill out Form ADV - Form, follow these steps:
02
Start by providing your firm's name, address, phone number, and email address.
03
Indicate the type of adviser and provide information about your business structure.
04
Disclose any regulatory assets under management and the number of clients.
05
Describe your investment strategy, including the types of securities you typically recommend.
06
Provide information about any custodians or qualified custodians that hold client assets.
07
Disclose any disciplinary history and conflicts of interest.
08
Complete the sections on performance fees and the use of solicitors.
09
Submit the form electronically or by mail to the SEC.
10
Keep a copy of the completed form for your records.
Who needs form adv - form?
01
Form ADV - Form is needed by investment advisers who are registered with the Securities and Exchange Commission (SEC).
02
This form is required under the Investment Advisers Act of 1940 and is used to gather information about the adviser's business practices, investment strategies, and potential conflicts of interest.
03
It helps the SEC and clients assess the adviser's qualifications, operations, and compliance with regulatory requirements.
04
Even advisers exempt from registration may need to file Form ADV - Form to claim an exemption.
05
In summary, any investment adviser who falls under the jurisdiction of the SEC should fill out Form ADV - Form.
Fill
form
: Try Risk Free
For pdfFiller’s FAQs
Below is a list of the most common customer questions. If you can’t find an answer to your question, please don’t hesitate to reach out to us.
Where do I find form adv - form?
The premium subscription for pdfFiller provides you with access to an extensive library of fillable forms (over 25M fillable templates) that you can download, fill out, print, and sign. You won’t have any trouble finding state-specific form adv - form and other forms in the library. Find the template you need and customize it using advanced editing functionalities.
How do I edit form adv - form straight from my smartphone?
You may do so effortlessly with pdfFiller's iOS and Android apps, which are available in the Apple Store and Google Play Store, respectively. You may also obtain the program from our website: https://edit-pdf-ios-android.pdffiller.com/. Open the application, sign in, and begin editing form adv - form right away.
How do I complete form adv - form on an iOS device?
Make sure you get and install the pdfFiller iOS app. Next, open the app and log in or set up an account to use all of the solution's editing tools. If you want to open your form adv - form, you can upload it from your device or cloud storage, or you can type the document's URL into the box on the right. After you fill in all of the required fields in the document and eSign it, if that is required, you can save or share it with other people.
What is form adv - form?
Form ADV is a registration form used by investment advisors to register with the SEC and state regulators. It consists of two parts: Part 1 requires information about the advisor's business, ownership, and clients, while Part 2 provides a narrative brochure detailing the advisor's services, fees, and potential conflicts of interest.
Who is required to file form adv - form?
Investment advisors who manage assets above a certain threshold or provide advice for a fee are required to file Form ADV with the SEC or the appropriate state regulatory authority.
How to fill out form adv - form?
Form ADV must be completed through the Investment Adviser Registration Depository (IARD) platform, where advisors provide required information about their business operations, services offered, fee structures, and background of key personnel.
What is the purpose of form adv - form?
The purpose of Form ADV is to provide transparency to clients and regulators about the investment advisory industry by disclosing important information about an advisor's qualifications, business practices, and potential conflicts of interest.
What information must be reported on form adv - form?
Form ADV requires the reporting of information such as the advisor's name, business address, ownership structure, services offered, fee arrangements, disciplinary history, and information about client accounts.
Fill out your form adv - form online with pdfFiller!
pdfFiller is an end-to-end solution for managing, creating, and editing documents and forms in the cloud. Save time and hassle by preparing your tax forms online.
Form Adv - Form is not the form you're looking for?Search for another form here.
Relevant keywords
Related Forms
If you believe that this page should be taken down, please follow our DMCA take down process
here
.
This form may include fields for payment information. Data entered in these fields is not covered by PCI DSS compliance.
