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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: LEG MASON PRIVATE PORTFOLIO GROUP, LLC CRD Number: 142219OtherThanAnnual

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Who needs pdf form adv?

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Individuals and organizations who want to provide investment advisory services usually need to fill out a PDF form ADV. This includes investment advisors, financial institutions, registered investment advisors (RIAs), and other entities regulated by the Securities and Exchange Commission (SEC) or state securities authorities. Filling out the form ADV is necessary for compliance with regulatory requirements and to provide accurate and up-to-date information about the advisory business.

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What is pdf form adv?

PDF Form ADV is a regulatory form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulators. It provides detailed information about the adviser's business, fees, and services.

Who is required to file pdf form adv?

Investment advisers who manage assets above a certain threshold or provide investment advice to clients are required to file PDF Form ADV.

How to fill out pdf form adv?

To fill out PDF Form ADV, you need to provide information about your firm's structure, ownership, services offered, client types, and financial information, ensuring accuracy and completeness in each section.

What is the purpose of pdf form adv?

The purpose of PDF Form ADV is to disclose important information about the investment adviser to clients and potential clients, ensuring transparency in the adviser-client relationship.

What information must be reported on pdf form adv?

Information such as firm details, business practices, fees, conflicts of interest, disciplinary history, and the qualifications of key personnel must be reported on PDF Form ADV.

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