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Ascend Financial Consultants, Inc. Form ADV Part 3 Client Relationship Summary June 2020INTRODUCTION ASCEND FINANCIAL CONSULTANTS, INC. (AFC) is an investment adviser registered with the Securities
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To fill out Form ADVascend Investment Management, follow these steps:
02
Obtain a copy of the form: You can download Form ADVascend Investment Management from the official website of the Securities and Exchange Commission (SEC).
03
Provide general information: Fill out the top part of the form, which includes details such as your name, address, contact information, and the type of registration you are seeking.
04
Complete Part 1: This section requires you to provide information about your business, including the name, location, ownership, and services provided. You will also need to disclose any disciplinary actions or conflicts of interest.
05
Fill out Part 2A: In this section, provide detailed information about the investment adviser's educational background, business practices, compensation, and other relevant details.
06
Complete Part 2B: This section requires you to provide information about the key personnel of the investment adviser, including their qualifications, experience, and roles.
07
Provide additional disclosure information: If there are any additional details or disclosures that need to be made, provide them in an attachment to the form.
08
Sign and date the form: Finally, review the form for accuracy, sign and date it, and submit it to the SEC as instructed in the form's instructions.
09
Keep a copy: Make sure to keep a copy of the filled-out form for your records.
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Note: This is a simplified guide. It is recommended to review the official instructions provided by the SEC for detailed guidance.

Who needs form advascend investment management?

01
Form ADVascend Investment Management is needed by investment management firms or individuals who are seeking registration as an investment adviser with the Securities and Exchange Commission (SEC). This form is required under the Investment Advisers Act of 1940 and must be submitted to the SEC.
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Form ADV is a required disclosure document that is filed with the SEC by investment advisers.
Investment advisers who manage over a certain amount of assets are required to file Form ADV with the SEC.
Form ADV can be filled out electronically on the SEC's IARD system.
The purpose of Form ADV is to provide transparency about an investment adviser's business practices, fees, conflicts of interest, and disciplinary history.
Form ADV requires information such as assets under management, types of clients, services offered, fee schedule, and any disciplinary history.
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2020 afc ascendfc v06 crd rebalanced transactional aua adviserinfo adv annuities secs portfolios crs advisers deducted institutional gov custodial discretionary assessed incurred brokerage hourly variable advisement consultants quarterly negotiable ascend

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