Get the free Form ADV Part 2A - Firm Brochure 4818-3374-3641 v.25
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Form ADV Part 2A Disclosure BrochureRaffa Wealth Management, LLC 1899 L St. NW, Suite 700 Washington, DC 20036 2029556734 http://www.raffawealth.com http://www.npinvesting.org Date of Brochure: November
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How to fill out form adv part 2a
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, including the legal name, business address, phone number, and website.
03
Next, include details about your firm's ownership structure, including the names and addresses of all partners, officers, and directors.
04
Explain the types of advisory services your firm offers and the strategies it uses. This includes information on the assets under management, client types, and any minimum investment requirements.
05
Provide information about the education and business background of your firm's advisory personnel.
06
Describe any disciplinary actions taken against your firm or its employees, as well as any financial conflicts of interest.
07
Disclose your firm's fee schedule, including how fees are calculated and whether there are any additional charges or expenses.
08
Detail any affiliations or business arrangements that could create potential conflicts of interest.
09
Provide information about your firm's custody practices, including how client funds and securities are safeguarded.
10
Explain your firm's voting policies and procedures, as well as any potential conflicts of interest related to proxy voting.
11
Include any additional information you believe would be helpful for clients to make an informed decision about your firm's services.
12
Finally, sign and date the form, and make sure to keep a copy for your records.
Who needs form adv part 2a?
01
Form ADV Part 2A is required for any investment adviser registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940.
02
Additionally, state-registered investment advisers may also be required to file Form ADV Part 2A depending on the regulations of their specific state.
03
The purpose of Form ADV Part 2A is to provide clients with essential information about the advisory firm, its services, fees, potential conflicts of interest, and the background of the firm's employees.
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What is form adv part 2a?
Form ADV Part 2A is a regulatory document that investment advisors must provide to clients, detailing the advisor's services, fees, and potential conflicts of interest.
Who is required to file form adv part 2a?
Investment advisors who are registered with the SEC or state regulators are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
To fill out Form ADV Part 2A, an investment advisor must provide information about their business practices, fees, client relationships, and conflicts of interest. Advisors must ensure all information is accurate and reflects current practices.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients with essential information about an advisor's business, helping them make informed decisions about hiring the advisor.
What information must be reported on form adv part 2a?
Form ADV Part 2A must report information such as the advisor's business structure, fees, types of clients served, services offered, and any disciplinary history.
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