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Dock Capital Group WRAP FEE PROGRAM BROCHURE FORM ADV PART 2A APPENDIX 1 400 Market Street, Suite 200 Williamsport, Pennsylvania 17701 Local Phone: 5703269500 Toll-free Phone: 8668550569 Fax: 5703269577

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How to fill out form adv part 2a

01

To fill out Form ADV Part 2A, follow these steps:

02

Start by providing your firm's name, contact information, and fiscal year-end at the top of the form.

03

Next, provide information about your firm's ownership structure, including the percentage of ownership held by each individual or entity.

04

Disclose any disciplinary events involving the firm or its advisory personnel, including criminal charges or regulatory actions.

05

Provide details about your firm's compensation structure, including fees charged to clients.

06

Describe the types of advisory services offered by your firm, including any specialization or areas of expertise.

07

Disclose any material conflicts of interest that may impact your firm's ability to provide unbiased advice to clients.

08

Detail your firm's internal policies and procedures for safeguarding client information and preventing unauthorized access.

09

Provide information on any affiliations or associations with other financial industry participants.

10

Disclose any financial industry activities conducted outside of your advisory business.

11

Finally, review the completed Form ADV Part 2A for accuracy and completeness before submitting it.

12

Note: The instructions provided here are a general guideline, and it is advisable to consult the official instructions and guidance provided by the SEC or your regulatory authority for full compliance.

Who needs form adv part 2a?

01

Form ADV Part 2A is required by investment advisers registered with the Securities and Exchange Commission (SEC) or state securities authorities. Registered investment advisers and firms managing more than $25 million in assets are typically required to file Form ADV Part 2A. It provides important information to clients and potential clients about the adviser's business practices, compensation, conflicts of interest, and other material information. Therefore, anyone seeking investment advisory services should look for and review Form ADV Part 2A to make informed decisions.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document that investment advisers must provide to clients and potential clients. It includes information about the adviser's services, fees, conflicts of interest, and disciplinary history.

Who is required to file form adv part 2a?

Investment advisers registered with the 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 online through the Investment Adviser Registration Depository (IARD) system. Advisers must provide detailed information about their business practices, conflicts of interest, fees, and disciplinary history.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients and potential clients with important information about an investment adviser's services, fees, conflicts of interest, and disciplinary history.

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

Form ADV Part 2A requires investment advisers to report information about their business practices, fees, conflicts of interest, and disciplinary history.

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