Get the free Form ADV Part 2A (Disclosure Brochure 3.25.21).docx

Dock Capital Group FORM ADV PART 2A 400 Market Street, Suite 200 Williamsport, Pennsylvania 17701 Local Phone: 5703269500 Toll-free Phone: 8668550569 Fax: 5703269577 www.hudockcapital.com March 25,

How to fill out form adv part 2a

How to fill out form adv part 2a

1. To fill out Form ADV Part 2A, follow these steps:
2. Begin by providing your firm's name, address, and contact information.
3. Provide details about your firm's ownership and control, including any affiliates or subsidiaries.
4. Disclose any disciplinary history or legal proceedings involving your firm or its employees.
5. Detail the types of advisory services your firm offers and the methods used to deliver them.
6. Describe any fees or compensation your firm charges for its services, including any conflicts of interest.
7. Explain your firm's investment strategies, including any risks involved.
8. Provide information about your firm's educational background and qualifications.
9. Include any additional information required by the form, such as disclosures or financial statements.
10. Review the completed form for accuracy and completeness.
11. Submit the form to the appropriate regulatory authority, along with any required fees or attachments.

Who needs form adv part 2a?

1. Form ADV Part 2A is required for investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities authorities.
2. This form is an important disclosure document that helps clients and prospective clients make informed decisions about choosing an investment adviser.
3. Whether you are an individual adviser or part of a larger firm, if you provide investment advisory services and meet the registration requirements, you will need to file Form ADV Part 2A.

For pdfFiller’s FAQs

How do I edit form adv part 2a online?

With pdfFiller, the editing process is straightforward. Open your form adv part 2a in the editor, which is highly intuitive and easy to use. There, you’ll be able to blackout, redact, type, and erase text, add images, draw arrows and lines, place sticky notes and text boxes, and much more.

Can I create an electronic signature for the form adv part 2a in Chrome?

You can. With pdfFiller, you get a strong e-signature solution built right into your Chrome browser. Using our addon, you may produce a legally enforceable eSignature by typing, sketching, or photographing it. Choose your preferred method and eSign in minutes.

Can I edit form adv part 2a on an iOS device?

Create, edit, and share form adv part 2a from your iOS smartphone with the pdfFiller mobile app. Installing it from the Apple Store takes only a few seconds. You may take advantage of a free trial and select a subscription that meets your needs.

What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment adviser's services, fees, and disciplinary history.

Who is required to file form adv part 2a?

Investment advisers registered with the Securities and Exchange Commission (SEC) or state securities authorities 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. It requires detailed information about the adviser's business practices, conflicts of interest, and disciplinary history.

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, allowing them to make informed decisions about whether to engage the adviser's services.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires information such as the adviser's services, fees, disciplinary history, conflicts of interest, business practices, and key personnel.