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Form ADV: Part 2APage 1Item 1: Cover Page Bradley, Foster & Sargent, Inc. 185 Asylum Street, Birthplace II Hartford, Connecticut 06103 April 12, 2021, Website: www.bfsinvest.com www.bfsfunds.comContact
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How to fill out form adv part 2a
How to fill out form adv part 2a
01
To fill out Form ADV Part 2A, follow these steps:
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Begin with Section 1: Identifying Information. Provide your full name, as well as any other names or business affiliations you have used in the past.
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Move on to Section 2: SEC Registration. If you are an SEC-registered investment adviser, provide your CRD number and indicate the type of organization you are.
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In Section 3: Contact Information, enter your business address, phone number, and email address.
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Proceed to Section 4: Other Business Activities. If you or your firm engage in any other business activities besides investment advisory services, provide a detailed description of those activities.
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Complete Section 5: Custody. Indicate whether you have custody of client funds or securities and provide details if applicable.
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Move on to Section 6: Qualifications. Describe your education, professional experience, and other qualifications relevant to providing investment advice.
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In Section 7: Disciplinary Information, disclose any legal or disciplinary events involving you or your firm.
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Proceed to Section 8: Other Financial Industry Activities and Affiliations. Provide information about your involvement with other financial industry organizations or affiliations.
10
Complete Section 9: Participation or Interest in Client Transactions. If you or your firm participate in or have a financial interest in client transactions, provide the necessary details.
11
Move on to Section 10: Control Persons. Disclose any individuals who control your advisory firm.
12
In Section 11: Disclosure Information, provide any additional information or disclosures that may be required to prevent any material misstatements or omissions.
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Finally, review the completed Form ADV Part 2A carefully for accuracy and completeness before submitting it.
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Note: The above instructions are a general guideline, and you should consult the official instructions provided by the Securities and Exchange Commission (SEC) for detailed guidance.
Who needs form adv part 2a?
01
Form ADV Part 2A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940.
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It is also required for investment advisers who manage over $25 million in assets or who are required to register with state securities authorities.
03
The form provides important information to clients and prospective clients about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history.
04
Therefore, any investment adviser who meets the criteria mentioned above needs to fill out Form ADV Part 2A.
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What is form adv part 2a?
Form ADV Part 2A is a disclosure document that provides information about an investment adviser's services, fees, conflicts of interest, and disciplinary history.
Who is required to file form adv part 2a?
Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part 2A.
How to fill out form adv part 2a?
Form ADV Part 2A can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2a?
The purpose of Form ADV Part 2A is to provide clients with important information about an investment adviser's business practices and potential conflicts of interest.
What information must be reported on form adv part 2a?
Form ADV Part 2A requires information about an investment adviser's business practices, services offered, fees charged, conflicts of interest, and disciplinary history.
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