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IARD All Sections Username: jjames382, Org ID: 284517-Page 1 of 31FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: LL
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Provide your personal information, including your full name, address, and contact details.
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The CRD IA-LL form is typically needed by individuals working in the financial services industry, particularly those who are investment advisers or related professionals. It is required for registration with the Compliance, Registration and Disclosure (CRD) system, which is a central repository for information about individuals and firms involved in the securities industry. This form helps ensure transparency and regulatory compliance in the industry.
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CRD IA-LL is a form used by investment advisers to report specific information regarding their advisory practices and financial conditions.
Investment advisers who meet certain criteria, including those managing a specified amount of assets or those who are registered with the SEC or state regulators, are required to file CRD IA-LL.
To fill out CRD IA-LL, advisers should provide required information accurately including details about their business operations, ownership structure, and financial statements, often using an electronic filing portal.
The purpose of CRD IA-LL is to ensure regulatory compliance by investment advisers and to provide transparency regarding their operations and financial standing to regulators and the public.
CRD IA-LL requires reporting of information such as business addresses, ownership details, assets under management, and any disciplinary history or regulatory actions.
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