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FORM ADV Part 2A Client Brochure March 31, 2019SageOak Financial, LLC 7136 S. Yale Avenue Suite 300 Tulsa, OK 74136 (918)5181533 www.sageoakfinancial.comThis brochure provides information about the
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To fill out the 2019-03-31 form adv, follow these steps:
02
Start by entering your business's name and contact information in the designated section.
03
Provide details about your business structure, including whether it is a sole proprietorship, partnership, or corporation.
04
Fill in the information regarding your investment advisers, including their names, addresses, and roles within the company.
05
Disclose any disciplinary actions or legal proceedings against your firm or its advisers.
06
Specify the types of clients your firm serves, such as retail investors, high-net-worth individuals, or institutional clients.
07
Provide information about your firm's fee structure, including any performance-based fees or other compensation arrangements.
08
Complete the sections related to your firm's assets under management (AUM) and portfolio composition.
09
Answer any additional questions regarding your firm's business practices and policies.
10
Review the completed form to ensure accuracy and make any necessary corrections.
11
Sign and date the form before submitting it to the appropriate regulatory body.
Who needs 2019-03-31 - form adv?
01
The 2019-03-31 form adv is required for registered investment advisers. These are individuals or firms that provide investment advice and manage client assets as part of their professional services.
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What is 03-31 - form adv?
Form ADV is a registration form that investment advisors use to register with the SEC and state regulators. The '03-31' designation typically refers to specific reporting periods.
Who is required to file 03-31 - form adv?
Investment advisors who manage assets above a certain threshold or meet specific criteria set forth by the SEC are required to file Form ADV.
How to fill out 03-31 - form adv?
To fill out Form ADV, investment advisors must provide detailed information about their business, ownership, clients, services offered, and disciplinary history through both a Part 1 and Part 2 of the form.
What is the purpose of 03-31 - form adv?
The purpose of Form ADV is to provide transparency and essential information to clients and regulators regarding the advisor's business practices and operations.
What information must be reported on 03-31 - form adv?
The form must report information including the advisor's business structure, services provided, fee arrangements, and any disciplinary events that may affect the advisor's integrity.
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