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FORM Your Name CRD Lumberyard 1B Page 1 of 4DateSEC 801 or 802 Outperform ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 1B You must complete this Part 1B only if

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How to fill out form-adv-part-1bpd

01

Begin by selecting the appropriate sections of form-adv-part-1bpd based on your specific information and business activities.

02

Fill in your firm name, SEC number, and other identifying information accurately in the designated fields.

03

Provide details about your firm's ownership structure, including names and addresses of all owners and executive officers.

04

Disclose any disciplinary history or legal actions against your firm, its employees, or owners.

05

Describe your firm's business activities, investment strategies, and the types of clients you serve.

06

Provide information about any affiliates or related persons involved in your firm's operation.

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Disclose any conflicts of interest that may arise in your firm's relationships with clients.

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Complete the sections regarding compensation, including fee structures and any additional charges.

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Outline your firm's compliance program and policies, including procedures for safeguarding client assets and privacy.

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Review the completed form-adv-part-1bpd for accuracy and completeness before submitting it to the SEC.

Who needs form-adv-part-1bpd?

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Form-adv-part-1bpd is needed by registered investment advisers (RIA) who are required to file with the Securities and Exchange Commission (SEC).

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RIA firms with over $25 million in assets under management or who provide advice to registered investment companies must submit form-adv-part-1bpd.

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These forms serve as a means of disclosing important information about the firm's business, ownership, activities, and conflicts of interest to the regulatory authorities.

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What is form-adv-part-1bpd?

Form-adv-part-1bpd is a specific document used in the administrative process for reporting and disclosing certain types of information, typically related to business or financial activities.

Who is required to file form-adv-part-1bpd?

Individuals or entities that meet certain criteria set by the regulatory authorities, often businesses involved in specific types of transactions or operations, are required to file form-adv-part-1bpd.

How to fill out form-adv-part-1bpd?

To fill out form-adv-part-1bpd, you must carefully follow the provided instructions, which generally involve entering relevant business information, transaction details, and any required disclosures.

What is the purpose of form-adv-part-1bpd?

The purpose of form-adv-part-1bpd is to ensure transparency and compliance with regulatory requirements by collecting relevant data from businesses about their operations and activities.

What information must be reported on form-adv-part-1bpd?

Information typically required includes business details, identifying information, nature of transactions, and any disclosures related to compliance or regulatory mandates.

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