Get the free FORM ADV - CCM Investment Advisers, LLC

3/11/2015 IARD All Sections Username: elephant, Org ID: 105743 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CCM INVESTMENT

How to fill out form adv - ccm

How to fill out Form ADV-CCM?

1. Start by gathering all the necessary information required to complete Form ADV-CCM. This includes your firm's name, contact information, legal structure, and any affiliations with other financial institutions.
2. Next, carefully review the instructions provided by the Securities and Exchange Commission (SEC) for filling out Form ADV-CCM. Make sure to familiarize yourself with the definitions and terms used in the form to ensure accurate completion.
3. Begin filling out the form by providing your firm's basic identifying information, such as its name, address, phone number, and email address. You may also need to include details about any other names your firm operates under or has previously operated under.
4. Move on to Section 1 of Form ADV-CCM, where you will need to provide information about your firm's ownership structure. This includes identifying the individuals or entities that have control over your firm's management and operations.
5. In Section 2, you will be required to disclose information about your firm's advisory business, such as the types of services you offer, the fees you charge, and any conflicts of interest that may exist. It is crucial to be thorough and accurate in detailing this information.
6. Section 3 focuses on your firm's disciplinary history. You will need to disclose any legal or regulatory actions taken against your firm or its employees, as well as any financial or material conditions that may jeopardize your ability to provide advisory services.
7. Section 4 requires you to provide information regarding your firm's other business activities, such as acting as a broker-dealer or insurance company. If your firm engages in any additional activities beyond investment advisory services, make sure to provide the necessary details.
8. Lastly, review your completed Form ADV-CCM thoroughly to ensure accuracy and completeness. Double-check all the sections and ensure that you have signed and dated the form.

Who needs Form ADV-CCM?

1. Investment advisers registered with the SEC are required to file Form ADV-CCM. This includes firms that meet certain threshold criteria for assets under management (AUM) or provide services in multiple states.
2. Form ADV-CCM is particularly relevant for investment advisers who also act as a commodity pool operator (CPO) or commodity trading advisor (CTA). It is necessary for regulatory purposes and ensures compliance with applicable laws and regulations.
3. Any investment adviser operating in the United States and falling within the scope of SEC oversight should be familiar with and prepared to file Form ADV-CCM. It is an essential document that provides transparency, protects investors, and maintains the integrity of the financial industry.

For pdfFiller’s FAQs

What is form adv - ccm?

Form ADV - CCM stands for Form Advanced Comprehensive Capital Market, it is a form filed with the Securities and Exchange Commission (SEC) by certain investment advisers.

Who is required to file form adv - ccm?

Investment advisers who meet certain criteria set by the SEC are required to file Form ADV - CCM.

How to fill out form adv - ccm?

Form ADV - CCM can be filled out electronically through the SEC's IARD system. Investment advisers must provide detailed information about their business, clients, and operations.

What is the purpose of form adv - ccm?

The purpose of Form ADV - CCM is to provide the SEC with important information about investment advisers, allowing them to monitor and regulate the industry effectively.

What information must be reported on form adv - ccm?

Information such as the investment adviser's business activities, clients, conflicts of interest, and disciplinary history must be reported on Form ADV - CCM.

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