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SUMMIT FINANCIAL STRATEGIES, INC. 7965 N. High St. ×350, Columbus, OH 43235 t: (614) 885-1115 f: (614) 885-1495 www.summitfin.com Form ADV Part 2A FIRM BROCHURE. March 24, 2014, This brochure provides
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How to fill out form adv part 2a:

01
Gather all necessary information: Before filling out form adv part 2a, gather all of the necessary information regarding your advisory firm. This includes details about your firm's ownership, business practices, and affiliations.
02
Fill in the required sections: The form adv part 2a is divided into various sections, and each section requires specific information. Carefully fill in each section, providing accurate and up-to-date information.
03
Section 1: Begin by filling out the identification information about your advisory firm, such as the firm's name, address, and contact details. Include any previous names the firm may have had.
04
Section 2: Provide details about your firm's employees, including their names, roles, and background information. This section aims to give a comprehensive overview of your firm's personnel.
05
Section 3: In this section, disclose general information about your advisory business, such as the types of clients you serve and strategies employed. Include any material restrictions or limitations.
06
Section 4: Disclose any affiliations, relationships, or conflicts of interest that may exist. Include details on compensation arrangements or other financial interests that could potentially influence your advisory services.
07
Section 5: If applicable, provide information about any disciplinary events involving your firm or its employees. Include details on regulatory actions, criminal convictions, or civil lawsuits.
08
Section 6: This section requires information regarding your firm's reporting practices and the types of reports provided to clients. Be sure to accurately describe the frequency and content of these reports.
09
Section 7: Disclose any details regarding your firm's financials, including assets under management, balance sheet information, and any financial condition that could impact your ability to provide advisory services.

Who needs form adv part 2a:

01
Registered Investment Advisers (RIAs): Form adv part 2a is required by RIAs who are registered with the Securities and Exchange Commission (SEC) or state securities regulators. This form serves as a disclosure document to provide information to clients and prospective clients about the advisory firm.
02
Clients and prospective clients: Form adv part 2a serves to educate clients and prospective clients about the advisory firm's business practices, fees, and potential conflicts of interest. It allows them to make informed decisions about engaging the services of the firm.
03
Compliance officers and regulatory authorities: Compliance officers and regulatory authorities use form adv part 2a to assess and monitor the activities and compliance of registered advisory firms. It helps ensure that the firm is operating within the regulatory framework and providing accurate and transparent information to clients.
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Form ADV Part 2A is a disclosure document that provides information about an investment adviser's services, fees, conflicts of interest, and disciplinary history.
Registered investment advisers are required to file Form ADV Part 2A with the Securities and Exchange Commission (SEC) or with state securities regulators.
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. It requires detailed information about the adviser's business practices.
The purpose of Form ADV Part 2A is to provide clients with key information about an investment adviser's business practices, allowing them to make informed decisions about whether to hire the adviser.
Information that must be reported on Form ADV Part 2A includes the adviser's services, fees, investment strategies, disciplinary history, ownership, and other conflicts of interest.
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