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Grumman Wealth Management Part 2A of Form ADV: The Brochure2040 Bancroft Way, Suite 300 Berkeley, CA 94704 5108831350 www.grubmanwm.comMarch 21, 2017Item 1: Cover Page Item 1: Cover Page This Brochure

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow these steps:

02

Start by providing your firm's identifying information, such as name, mailing address, phone number, and website.

03

Next, provide details about your firm's ownership and control, including any parent or subsidiary companies.

04

Describe your firm's business, including the types of advisory services offered and any additional compensation arrangements.

05

Disclose any disciplinary events, regulatory actions, or legal proceedings involving the firm or its key personnel.

06

Provide information about your firm's investment strategies, including risk factors and any material conflicts of interest.

07

Describe the qualifications and experience of your firm's key personnel, including their educational background and any disciplinary history.

08

Disclose your firm's fee schedule, including both direct and indirect fees, along with any other expenses clients may incur.

09

Explain your firm's policies and procedures, including how you handle client complaints and safeguard client assets.

10

Finally, certify the accuracy of the information provided and submit the completed Form ADV Part 2A.

Who needs form adv part 2a?

01

Form ADV Part 2A is needed by registered investment advisers. It is required by the Securities and Exchange Commission (SEC) and individual state securities authorities for firms providing investment advisory services. This includes firms that manage assets for clients, offer financial planning advice, or provide investment recommendations.

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What is form adv part 2a?

Form ADV Part 2A is a document that investment advisers are required to provide to their clients, containing important information about the adviser, their services, fees, and business practices.

Who is required to file form adv part 2a?

Investment advisers who are registered with the SEC or state regulators must file Form ADV Part 2A.

How to fill out form adv part 2a?

Form ADV Part 2A should be filled out by providing detailed information about the firm's business practices, fees, conflicts of interest, and the background of key personnel.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and prospective clients with sufficient information to make an informed decision about whether to hire or remain with an investment adviser.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires disclosures about the advisory business, advisory services offered, fees and compensation, performance-based fees, disciplinary history, and any conflicts of interest.

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