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Form ADV Part 3: Relationship Summary Comprehensive Financial Planning Corporation doing business as High stone Group Introduction High stone Group is an investment adviser registered with the U.S.

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How to fill out cfpc form adv part

01

To fill out the CFPC Form ADV Part, follow these steps:

02

Start by providing your firm's name, address, and contact information.

03

Indicate the type of investment advisor you are and check the applicable boxes for your firm's registration status.

04

Provide detailed information about your firm's ownership, control, and management.

05

Disclose any disciplinary events or conflicts of interest that may affect your firm.

06

Provide information about your firm's advisory business, including the types of clients you serve and the services you offer.

07

Detail your firm's fee schedule and how you charge clients for your services.

08

Provide information about your firm's custody of client funds, if applicable.

09

Disclose any affiliations or relationships your firm has with other financial institutions or professionals.

10

Provide additional information requested by the CFPC, such as your firm's code of ethics or privacy policy.

11

Review the completed form for accuracy and completeness before submitting it to the CFPC.

Who needs cfpc form adv part?

01

The CFPC Form ADV Part is required for investment advisors in the United States who are registered with the Securities and Exchange Commission (SEC) or state securities authorities.

02

It is important for investment advisors to accurately and fully complete the form to ensure compliance with regulatory requirements and provide transparency to clients and potential investors.

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What is cfpc form adv part?

CFPC Form ADV Part is a form that investment advisers must file with the Securities and Exchange Commission (SEC) in order to register with the commission.

Who is required to file cfpc form adv part?

Investment advisers who manage $25 million or more in assets must file CFPC Form ADV Part with the SEC.

How to fill out cfpc form adv part?

CFPC Form ADV Part must be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of cfpc form adv part?

The purpose of CFPC Form ADV Part is to provide key information about an investment advisor, including services offered, fees charged, and conflicts of interest.

What information must be reported on cfpc form adv part?

Information such as assets under management, types of clients, fees charged, business practices, and any disciplinary history must be reported on CFPC Form ADV Part.

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