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October 19, 2020, Form ADV, Part 3 Customer Relationship Summary Brandywine Global Investment Management, LLC (Brandywine Global) INTRODUCTION Brandywine Global is registered with the Securities and

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How to fill out form adv part 3

01

To fill out Form ADV Part 3, follow these steps: 1. Begin by providing your General Information, which includes your firm's name, address, and contact information.

02

Move on to Section 1 - Firm Details, where you will need to provide details about your firm's ownership structure, regulatory assets under management (AUM), and any disciplinary history.

03

In Section 2 - Relationships and Services, you will need to provide information about your advisory activities and the types of clients you serve.

04

Section 3 - Disciplinary Information requires you to disclose any disciplinary events involving your firm or its associated persons.

05

Next, in Section 4 - Registration and Licensing, provide information about your firm's registration status and any required licenses.

06

Section 5 - Financial Industry Affiliations will require you to disclose any affiliations your firm has with other financial industry participants.

07

In Section 6 - Participation in Client Solicitation, you will need to disclose whether your firm participates in client solicitation arrangements.

08

Section 7 - Voting Client Securities requires you to disclose information about your firm's voting authority over client securities.

09

Section 8 - Books and Records addresses your firm's record-keeping practices and requirements.

10

Finally, review the completed form, sign and date it, and submit it to the appropriate regulatory authority.

Who needs form adv part 3?

01

Form ADV Part 3 is required for investment advisers who are regulated by the U.S. Securities and Exchange Commission (SEC) or state securities authorities.

02

Investment advisers who meet certain thresholds for assets under management (AUM) or provide advisory services to certain types of clients, such as registered investment companies, are generally required to file Form ADV Part 3.

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What is form adv part 3?

Form ADV Part 3, also known as Form CRS, is a document that investment advisers are required to provide to their retail clients under SEC regulations.

Who is required to file form adv part 3?

Investment advisers registered with the SEC are required to file Form ADV Part 3.

How to fill out form adv part 3?

Form ADV Part 3 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 3?

The purpose of Form ADV Part 3 is to provide retail investors with information about the firm, its services, fees, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 3?

Information such as the firm's services, fees, disciplinary history, conflicts of interest, and other key details must be reported on Form ADV Part 3.

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