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OMB APPROVAL OMB Number: 3235-0049 February 28, 2011, Expires: Estimated Average burden Hours per response..........4.07 FORM ADV Uniform Application for Investment Adviser Registration Part II Page

How to fill out form adv uniform application

Point by point instructions on how to fill out Form ADV Uniform Application:

Gather all necessary information:

1. Full name and contact information of the investment adviser
2. Number of advisory employees and their contact information
3. Description of the advisory business, including services offered and types of clients served
4. Any disciplinary history or legal actions
5. Information on other business activities or affiliations

Complete Part 1 of Form ADV:

1. Provide general information about the advisory firm, such as its name, address, and ownership structure
2. Indicate the size of the firm and the number of clients it serves
3. Describe the advisory services offered and the types of clients served
4. Disclose any other business activities or affiliations

Fill out Part 2 of Form ADV:

1. This section requires detailed information about the advisory firm's fee structure, compensation, and conflicts of interest
2. Provide information on all investment strategies and risks associated with each strategy
3. Describe the firm's educational and professional background, including any disciplinary history

Submit any necessary attachments and schedules:

Some additional information may need to be provided in separate schedules or attachments, such as audited financial statements or a code of ethics

Sign and date the form:

1. Make sure that the form is signed by a responsible individual within the advisory firm
2. Include the date of submission

Who needs Form ADV Uniform Application?

The Form ADV Uniform Application is required for any investment adviser that is registered with the Securities and Exchange Commission (SEC) or with state securities authorities. It is a regulatory requirement for transparency and providing key information to clients and potential investors. Whether an individual or firm needs to file Form ADV depends on the nature and size of their advisory business, as well as the jurisdiction in which they operate.

For pdfFiller’s FAQs

What is form adv uniform application?

Form ADV is a form used by investment advisers to register with the Securities and Exchange Commission (SEC) or state securities authorities.

Who is required to file form adv uniform application?

Investment advisers who meet certain criteria are required to file Form ADV. This includes advisers with assets under management above a certain threshold.

How to fill out form adv uniform application?

Form ADV can be filled out electronically on the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv uniform application?

The purpose of Form ADV is to provide the SEC and investors with important information about an investment adviser, such as its services, fees, disciplinary history, and conflicts of interest.

What information must be reported on form adv uniform application?

Form ADV requires information about an adviser's business practices, fees, conflicts of interest, disciplinary history, and other important details.

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