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Get the free Form ADV Part 2A - Firm Brochure - March 2019.docx

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Item 1: Cover Pageant 2A of Form ADV: Firm Brochure March 2019The Daley Group, LLC2815 Forms Ave, Suite 107Hoffman Estates, IL 60192www. TheDalaGroup.confirm Contact:Michael HeatwoleChief Compliance OfficerThisbrochureprovidesinformationaboutthequalificationsandbusinesspracticesofTheDalaGroup, LLC. If clients have any questions about the contents of this brochure, please contact us at8475325335. The information in this brochure has not been approved or verified by the Uni.
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01
To fill out Form ADV Part 2A, follow these steps:
02
Start by providing the basic information of your firm, such as its name, address, phone number, and website.
03
Disclose whether your firm is an individual proprietorship, partnership, corporation, or other legal entity.
04
Specify the types of clients your firm serves (individuals, high net worth individuals, institutions, etc.).
05
Describe any investment strategies or methods used by your firm.
06
Explain any material risks associated with your firm's investment strategies.
07
Provide information about any disciplinary history of your firm or its employees.
08
Disclose the fees and compensation charged by your firm.
09
Outline any potential conflicts of interest that may arise in your firm's business practices.
10
Detail the educational and professional background of your firm's key personnel.
11
Include any additional information that is relevant to your firm's business operations.
12
Review the completed form for accuracy and make any necessary revisions before submitting it.

Who needs form adv part 2a?

01
Form ADV Part 2A is required by investment advisers registered with the Securities and Exchange Commission (SEC).
02
It is also needed by investment advisers registered with the state securities authorities, as they may have similar disclosure requirements.
03
Even if you are not currently registered as an investment adviser, you may still need to fill out Form ADV Part 2A if you are applying for registration or updating your registration information.
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Form ADV Part 2A is a disclosure document that investment advisors must provide to their clients, outlining the advisor's business practices, fees, services, and potential conflicts of interest.
Investment advisors who are registered with the SEC or state regulatory authorities are required to file Form ADV Part 2A.
To fill out Form ADV Part 2A, advisors must complete the required sections about their business, including types of services offered, fees, and any disciplinary history, using clear and plain language.
The purpose of Form ADV Part 2A is to provide transparency to clients by disclosing essential information about an advisor's practices, helping clients make informed decisions.
Form ADV Part 2A requires reporting information about the advisor's business, fees, investment strategies, disciplinary history, and potential conflicts of interest.
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