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Form ADV Part 3 Client Relationship Summary Date: 05/18/2020Item 1: Introduction SMALLPOX WEALTH INVESTMENT MANAGEMENT, LLC is an investment adviser registered with the Securities and Exchange Commission
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How to fill out form adv part 3
How to fill out form adv part 3
01
To fill out Form ADV Part 3, follow these steps:
02
Collect the necessary information about your firm, including its legal name, address, and contact information.
03
Provide details about your firm's ownership structure, such as the names and addresses of any individuals or entities that control your firm.
04
Describe your firm's business activities, investment strategies, and the types of clients you serve.
05
Disclose any conflicts of interest that may exist between your firm and its clients.
06
Provide information about any disciplinary history of your firm or its associated persons.
07
Include information about your firm's compensation structure and fee schedule.
08
If applicable, provide details about your firm's assets under management (AUM), including the types of assets you manage and the methods used for valuation.
09
Review the completed form for accuracy and completeness before submitting it.
10
Submit the filled-out Form ADV Part 3 electronically through the Investment Adviser Registration Depository (IARD) system.
Who needs form adv part 3?
01
Form ADV Part 3 is required for investment advisers who are applying for registration or updating their registration with the U.S. Securities and Exchange Commission (SEC).
02
It is also necessary for investment advisers who are already registered and need to amend their Form ADV Part 3 to reflect any changes in their business operations or other required information.
03
Form ADV Part 3 provides important information to regulators and clients about an investment adviser's business practices, conflicts of interest, and disciplinary history.
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What is form adv part 3?
Form ADV Part 3, also known as Form CRS (Customer Relationship Summary), is a form that registered investment advisers must file with the SEC to provide retail investors with information about the firm, its services, fees, conflicts of interest, and disciplinary history.
Who is required to file form adv part 3?
Registered investment advisers who offer services to retail investors 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. The form requires information about the adviser's business practices, conflicts of interest, fees, services offered, disciplinary history, and other relevant information.
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to provide retail investors with important information about an investment adviser's services, fees, conflicts of interest, and disciplinary history in a clear and concise manner to help investors make informed decisions about their investment choices.
What information must be reported on form adv part 3?
Form ADV Part 3 requires investment advisers to report information about their services, fees, conflicts of interest, disciplinary history, and other relevant information that would be important for retail investors to know.
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