Get the free FORM ADV - Home - Maryland Capital Management

4/13/2020IARD All Sections Username: ldirzuweit, Org ID: 133329 FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: MARYLAND

How to fill out form adv - home

How to fill out form adv - home

1. To fill out Form ADV - Home, follow these steps:
2. Begin by providing your firm's name, as well as any previous names the firm has operated under.
3. Specify the form of organization for your firm, such as a sole proprietorship, partnership, or corporation.
4. Enter the firm's CRD number, which is the unique identification number assigned by the SEC.
5. Provide information about your firm's principal office, including the street address, city, state, and ZIP code.
6. Indicate whether your firm acts as an investment adviser to any pooled investment vehicles.
7. If your firm does advise pooled investment vehicles, provide details about those vehicles, such as their types and strategies.
8. Disclose any other business activities your firm engages in.
9. Provide information about your firm's other offices, if applicable.
10. Describe any disciplinary events involving your firm or its employees.
11. Provide information about your firm's ownership and control, including identifying any persons with a 25% or greater voting interest in the firm.
12. Explain any financial industry affiliations your firm has.
13. Attach any required documents, such as additional pages for certain sections or copies of brochures.
14. Review the completed form for accuracy and completeness before submitting it.
15. Finally, sign and date the form to certify its accuracy.
16. Submit the completed Form ADV - Home to the SEC as instructed.

Who needs form adv - home?

1. Form ADV - Home is required by any investment adviser that is exempt from registration with the SEC and chooses to instead register with one or more state securities authorities.
2. Additionally, any SEC-registered investment adviser with a principal place of business in a state must file Form ADV - Home with that state securities authority.

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What is form adv - home?

Form ADV - Home is a form filed with the Securities and Exchange Commission (SEC) by a home office of an investment advisor.

Who is required to file form adv - home?

Investment advisors with a home office are required to file Form ADV - Home.

How to fill out form adv - home?

Form ADV - Home can be filled out electronically on the SEC's Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv - home?

The purpose of Form ADV - Home is to provide information about the home office of an investment advisor to the SEC and clients.

What information must be reported on form adv - home?

Form ADV - Home requires information about the location and contact information of the home office, as well as information about the investment advisor.