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March 4, 20202020 Part 2A of Form ADV, Part 2 3529 Foothills Rd. Las Cruces, NM 88011 (575) 556.8500 www.SpenceAssetManagement.comThis brochure provides information about the qualifications and business
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How to fill out form adv part 2a

01
To fill out Form ADV Part 2A, follow these steps:
02
Start by entering your firm's name, address, and SEC file number at the top of the form.
03
Provide information about your firm's ownership structure, including the names and addresses of any affiliated persons.
04
Disclose any conflicts of interest that your firm may have, including any financial arrangements that could impair your ability to act in your clients' best interests.
05
Detail your firm's business practices, including its investment strategies, methods of analysis, and any material risks involved.
06
Describe the educational and professional background of your firm's key personnel, including any disciplinary history.
07
Provide information on the fees charged by your firm, including any performance-based fees or other compensation arrangements.
08
Explain how your firm handles client assets, including any custody arrangements or third-party relationships.
09
Disclose any financial industry affiliations or participation in client referral programs.
10
Summarize any legal or disciplinary events involving your firm or its key personnel.
11
Finally, sign and date the form.
12
Please note that this is a general guide and you should consult the official instructions provided by the SEC for specific guidance on filling out Form ADV Part 2A.

Who needs form adv part 2a?

01
Form ADV Part 2A is required to be filed by investment advisers who are registered with the Securities and Exchange Commission (SEC). It provides important information about the adviser's business practices, investment strategies, and potential conflicts of interest. Additionally, state-registered investment advisers may also be required to file a similar form with their respective state securities authorities.
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Form ADV Part 2A is a document filed with the SEC by investment advisers that provides information about the adviser's business practices, conflicts of interest, and disciplinary history.
Investment advisers registered with the SEC are required to file Form ADV Part 2A.
Form ADV Part 2A can be filled out electronically on the SEC's website by registered investment advisers.
The purpose of Form ADV Part 2A is to provide clients and potential clients with important information about an investment adviser's business practices and conflicts of interest.
Form ADV Part 2A requires information about the adviser's services, fees, disciplinary history, conflicts of interest, and investment strategies.
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