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DISCLOSURE BROCHURE (FORM ADV, PART 2A) ARRIVES INVESTMENT MANAGEMENT, LLC SEC File No. 801-55501 4211 S 102nd Street Omaha, NE 68127 Main: 888-310-7921 Fax: 866-468-6268 WWW.TDAMERITRADE.COM October

How to fill out disclosure brochure form adv

Question: How to fill out a disclosure brochure form ADV and who needs it?

Steps to fill out a disclosure brochure form ADV:

1. Gather necessary information: Collect all the required details such as the firm's name, address, and contact information, as well as the names of key personnel, partners, and investment advisors associated with the firm.
2. Provide background information: Fill in the background information section, including the firm's history, structure, and any changes in ownership or control within the past year. Include details about the types of clients served and the services offered by the firm.
3. Disclose fees and compensation: Clearly state the fee structure, including any advisory fees, brokerage fees, or other compensation models employed by the firm. Provide details on any conflicts of interest relating to fees and disclose how the firm handles client referral arrangements.
4. Describe the firm's investment strategies: Explain the investment approach and strategies employed by the firm. Provide information on the risk factors associated with these strategies and disclose if the firm uses any specific investment models or third-party services.
5. Share disciplinary information: Disclose any legal or disciplinary events involving the firm or its employees within the past ten years. This includes any regulatory actions, criminal charges, or civil suits that could impact the firm's ability to provide advisory services.
6. Provide financial information: Present the firm's financials, including balance sheets and income statements. Provide information on the firm's custody arrangements and any potential conflicts of interest related to the handling of client assets.
7. Updated ADV form: Make sure all the information provided is accurate and up to date. If there are any material changes to the information provided in the disclosure brochure form ADV, make the necessary amendments and provide an updated version to clients.

Who needs a disclosure brochure form ADV?

1. Registered investment advisors (RIAs): RIAs are required by the Securities and Exchange Commission (SEC) or state securities regulators to prepare and deliver Form ADV as part of their regulatory obligations.
2. Potential clients: Individuals or entities considering engaging the services of an RIA should request a disclosure brochure form ADV to gain a better understanding of the firm's services, fees, investment strategies, and any potential conflicts of interest.
3. Existing clients: Existing clients of an RIA should review the firm's disclosure brochure form ADV periodically to stay informed about any changes in the firm's business practices, fees, investment strategies, or other important information that may impact their investment decisions.

Note: The specific requirements and regulations surrounding the disclosure brochure form ADV may vary depending on the jurisdiction and regulatory authority. It is advisable to consult the relevant securities regulators or legal professionals to ensure compliance with applicable laws and regulations.

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What is disclosure brochure form adv?

Disclosure Brochure Form ADV is a form that investment advisers registered with the Securities and Exchange Commission (SEC) or state securities authorities are required to file. It is a key disclosure document that provides information about the adviser's business practices, conflicts of interests, fees, and disciplinary history.

Who is required to file disclosure brochure form adv?

Investment advisers registered with the Securities and Exchange Commission (SEC) or state securities authorities are required to file disclosure brochure Form ADV.

How to fill out disclosure brochure form adv?

To fill out disclosure brochure Form ADV, investment advisers should carefully follow the instructions provided by the SEC or applicable state securities authorities. The form requires detailed information about the adviser's business, including its ownership structure, advisory services, fees and compensation, disciplinary history, and conflicts of interest.

What is the purpose of disclosure brochure form adv?

The purpose of disclosure brochure Form ADV is to provide prospective clients and regulators with important information about an investment adviser's business practices, conflicts of interest, fees, disciplinary history, and other key details. This helps clients make informed decisions and allows regulators to monitor and enforce compliance with securities regulations.

What information must be reported on disclosure brochure form adv?

Disclosure brochure Form ADV requires investment advisers to report various information, including their business practices, ownership structure, client types, advisory services offered, fees and compensation, disciplinary history, conflicts of interest, and more. The form is comprehensive and designed to ensure transparency and disclosure of all relevant information.