Get the free Baxter Form ADV Part 2 2020 v2 FINAL

Item 1 Cover Page Baxter Bros. Inc.’ D/b/a Baxter Investment Management) 1030 East Putnam Avenue Riverside, CT 06878 2036374559www.Baxterinvestment.com March 30, 2020This Brochure provides information

How to fill out baxter form adv part

How to fill out baxter form adv part

1. To fill out the Baxter Form ADV Part, follow these steps:
2. Start with General Information section: Provide the name and contact details of the adviser, including the SEC file number.
3. Complete Item 1: Identify any other names the adviser uses and provide information about any affiliation with other firms.
4. Proceed to Item 2: Disclose the adviser's educational background, business activities, and any other businesses in which the adviser is involved.
5. Move on to Item 3: Provide details about the adviser's direct or indirect control over client assets.
6. Fill out Item 4: Provide information about any other business activities outside of the adviser's primary business.
7. Complete Item 5: Provide a breakdown of the types of clients the adviser serves and the amount of assets held for each type.
8. Proceed to Item 6: Disclose any regulatory disciplinary actions or proceedings against the adviser.
9. Move on to Item 7: Provide information about the adviser's financial condition, including any bankruptcy filings.
10. Fill out Item 8: Specify the adviser's pricing structure, including fees and expenses charged to clients.
11. Complete Item 9: Provide information about the adviser's custody practices and any potential conflicts of interest.
12. Proceed to Item 10: Disclose any affiliations or material conflicts of interest, including any compensation agreements.
13. Finish with Item 11: Provide additional information the adviser believes is necessary to disclose.
14. Review the form for accuracy and completeness before submission.

Who needs baxter form adv part?

1. Baxter Form ADV Part is required to be filled out by registered investment advisers (RIAs) who are subject to the Securities and Exchange Commission's (SEC) regulatory oversight.
2. This form is a required disclosure document that provides important information about the adviser's business practices, fees, conflicts of interest, and disciplinary history.
3. It is necessary for RIAs to file this form to comply with SEC regulations and ensure transparency and accountability to their clients and the regulatory authorities.

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What is baxter form adv part?

Baxter Form ADV Part refers to a section of the Form ADV which investment advisers must file with the Securities and Exchange Commission (SEC).

Who is required to file baxter form adv part?

Investment advisers registered with the SEC are required to file Baxter Form ADV Part.

How to fill out baxter form adv part?

Baxter Form ADV Part can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of baxter form adv part?

The purpose of Baxter Form ADV Part is to provide important information to the SEC and clients about the investment adviser's business practices, conflicts of interest, and other key details.

What information must be reported on baxter form adv part?

Baxter Form ADV Part requires information about the investment adviser's services, fees, employees, business practices, affiliations, and any disciplinary history.