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Cape Investment Advisory, Inc. Form ADV Part 3 Client Relationship Summary
8/11/20Item 1: IntroductionCape Investment Advisory, Inc (CIA) is an investment adviser registered with the Securities and
Exchange
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How to fill out form adv part 3
How to fill out form adv part 3
01
To fill out Form ADV Part 3, follow these steps:
02
Obtain a copy of the form from the Securities and Exchange Commission (SEC) website or from your investment adviser.
03
Start by providing your name, address, and contact information in the designated sections.
04
Provide details about your firm, including its name, type of business, and registration date.
05
Answer the questions regarding your firm's disciplinary history, if any.
06
Disclose any conflicts of interest that may arise in the advisory relationship.
07
Provide information about your firm's investment strategies and the types of clients it serves.
08
Detail any compensation arrangements, fees, and expenses charged by your firm.
09
Provide information about your firm's supervised persons, including their names and roles.
10
Disclose any additional information required by the SEC.
11
Review the completed form for accuracy and completeness before submitting it to the SEC.
12
File the form electronically through the Investment Adviser Registration Depository (IARD) system.
13
Keep a copy of the completed form for your records.
Who needs form adv part 3?
01
Form ADV Part 3 is required for all investment advisers who are registered with the Securities and Exchange Commission (SEC) in the United States.
02
It is used to provide information and disclosures about the investment adviser's business practices, conflicts of interest, and other pertinent details.
03
Both new and existing investment advisers need to file Form ADV Part 3 to register with the SEC and maintain their registration status.
04
It helps the SEC and investors to evaluate the investment adviser's qualifications, business operations, and potential risks associated with their services.
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What is form adv part 3?
Form ADV Part 3, also known as the Client Relationship Summary (CRS), is a regulatory document that investment advisors must provide to clients, summarizing the services they offer and the fees associated with them.
Who is required to file form adv part 3?
Investment advisors that are registered with the Securities and Exchange Commission (SEC) or state regulators are required to file Form ADV Part 3.
How to fill out form adv part 3?
To fill out Form ADV Part 3, advisors must provide information on their services, fees, investment strategies, conflicts of interest, and other essential details in a prescribed format set by the SEC.
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to provide clear and concise information to clients to help them understand the nature of the advisor's services and the costs involved, thereby enhancing transparency and informed decision-making.
What information must be reported on form adv part 3?
Information that must be reported on Form ADV Part 3 includes the types of services offered, fees and costs, performance outcomes, whether the advisor has any disciplinary history, and conflicts of interest.
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