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Dock Capital Group
WRAP FEE PROGRAM BROCHURE
FORM ADV PART 2A
APPENDIX 1
400 Market Street, Suite 200
Williamsport, Pennsylvania 17701
Local Phone: 5703269500
Toll-free Phone: 8668550569
Fax: 5703269577
www.hudockcapital.com
March
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How to fill out form adv part 2a
How to fill out form adv part 2a
01
To fill out Form ADV Part 2A, follow these steps:
1. Start by providing your firm's name and identifying information at the top of the form.
02
Proceed to Section 1: Firm's Business. Here, you will need to provide information about your firm's ownership structure, business activities, and client types.
03
Move on to Section 2: Material Changes. If there have been any material changes to your firm's business, you will need to disclose them in this section.
04
Complete Section 3: Disciplinary Information. Include any disciplinary events or legal actions involving your firm or its employees.
05
Fill out Section 4: Other Financial Industry Activities and Affiliations. This section requires you to disclose any other financial industry activities or affiliations your firm has.
06
Proceed to Section 5: Compensation. Provide information about how your firm is compensated for its services.
07
Complete Section 6: Supervision. Describe your firm's supervisory practices and procedures.
08
Proceed to Section 7: Code of Ethics. Provide details about your firm's code of ethics and any conflicts of interest.
09
Fill out Section 8: Proxy Voting. If your firm exercises proxy voting authority, disclose your policies and procedures in this section.
10
Complete Section 9: Books and Records. Provide information about how your firm maintains and preserves required books and records.
11
Proceed to Section 10: Financials. If your firm has custody of client assets, provide information about your financial condition.
12
Finally, sign and date the form.
13
Remember to review and double-check all information provided before submitting the form.
Who needs form adv part 2a?
01
Form ADV Part 2A is required by investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities authorities.
02
It is necessary for registered investment advisers to provide this form to their clients, potential clients, and the SEC or state securities authorities upon request.
03
The form helps provide important information to clients and regulators about an investment adviser's services, fees, potential conflicts of interest, and disciplinary history.
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What is form adv part 2a?
Form ADV Part 2A is a disclosure document that provides information about an investment adviser's services, fees, conflicts of interest, and disciplinary history.
Who is required to file form adv part 2a?
Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients and prospective clients with important information about an investment adviser's business practices.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires information about an investment adviser's services, fees, disciplinary history, conflicts of interest, and other business practices.
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