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Form ADV Part 2A (Firm Brochure) Bustamante Financial February 22, 2014, Planning, LLC Item 1: Cover Page Bustamante Financial Planning, LLC. Main Office Address: 2700 Via Vendor, Santa Fe NM 87505
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How to fill out form adv part 2a:

01
Start by gathering all the necessary information and documents related to your investment advisory firm. This includes information about your firm's background, services offered, and any disciplinary history.
02
Begin filling out the form by providing general information about your firm, such as its name, address, and contact details. Make sure to include any previous names the firm has operated under.
03
Proceed to the next sections of the form, which will require you to disclose information about your firm's ownership structure, management personnel, and key employees. This includes providing details about any outside business activities or affiliations.
04
Next, you will need to provide information about your firm's advisory services, including the types of clients you serve, the assets you manage, and any minimum account requirements. You will also need to describe your fee structure and any potential conflicts of interest.
05
Continue to fill out the form by providing details about any disciplinary history, litigation, or regulatory actions involving your firm or its key personnel. Be thorough and accurate when explaining any disclosures, as this information will be crucial for regulators and potential clients.
06
Finally, review the completed form to ensure all necessary sections have been filled out accurately and completely. Attach any required supporting documents, such as brochures or client agreements, and submit the form according to the designated filing instructions.

Who needs form adv part 2a:

01
Investment advisory firms registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A. This includes firms that manage a certain threshold of assets or provide advice on certain types of investments.
02
The form is necessary for firms to provide clients and potential clients with important information about the firm's background, services, fees, and potential conflicts of interest. It helps ensure transparency and allows investors to make informed decisions.
03
Additionally, the SEC uses the information provided in Form ADV Part 2A to conduct examinations and monitor compliance by registered investment advisers. It is a crucial tool for regulators to assess the risks associated with investment advisers and protect investors.
In summary, anyone operating an investment advisory firm that meets the SEC's registration requirements will need to fill out Form ADV Part 2A. The form serves as a means of providing vital information to clients, ensuring compliance with regulatory requirements, and maintaining transparency in the investment advisory industry.
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Form ADV Part 2A is a disclosure document that investment advisers must provide to clients or prospective clients.
Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
The purpose of Form ADV Part 2A is to provide clients or prospective clients with important information about an investment adviser's business practices, conflicts of interest, and disciplinary history.
Form ADV Part 2A requires information about an investment adviser's services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.
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