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FORM ADV (Paper Version) x UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND x REPORT BY EXEMPT REPORTING ADVISERS PART 1A WARNING:Complete this form truthfully. False statements or omissions

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How to fill out form adv paper version

01

Step 1: Begin by downloading the Form ADV paper version from the official website of the U.S. Securities and Exchange Commission.

02

Step 2: Carefully read the instructions provided along with the form to ensure a thorough understanding of the requirements and sections of the form.

03

Step 3: Start with Section 1A, which requires the disclosure of information regarding the investment adviser's identity, ownership, and contact details.

04

Step 4: Fill out Section 1B, focusing on providing information about the investment adviser's form of organization, reporting status, and jurisdictions where it operates.

05

Step 5: Proceed to Section 2, which pertains to the investment adviser's disciplinary information, including any legal or regulatory actions taken against them.

06

Step 6: Complete Section 3, which deals with the investment adviser's business practices, types of clients, and affiliations.

07

Step 7: Provide details about the investment adviser's fees, compensation, and engagement practices in Section 4.

08

Step 8: Move on to Section 5, where the investment adviser is required to disclose financial information, including balance sheets and income statements.

09

Step 9: If applicable, complete Section 6, which focuses on performance reporting and requirements for calculation and presentation of performance results.

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Step 10: Finally, review the completed form for accuracy and make any necessary amendments before submitting it to the SEC.

Who needs form adv paper version?

01

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) are required to file Form ADV. Therefore, any investment adviser operating within the jurisdiction of the SEC needs to fill out the Form ADV paper version.

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What is form adv paper version?

Form ADV paper version is a hard copy of Form ADV that is completed and filed on paper instead of electronically.

Who is required to file form adv paper version?

Investment advisers who are unable to file Form ADV electronically are required to file the paper version.

How to fill out form adv paper version?

Form ADV paper version should be completed following the instructions provided by the SEC and FINRA.

What is the purpose of form adv paper version?

The purpose of Form ADV paper version is to provide regulatory authorities with information about the investment adviser's business practices and services.

What information must be reported on form adv paper version?

Form ADV paper version requires information about the investment adviser's business activities, services provided, fees charged, and any conflicts of interest.

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