Get the free Sustainvest Form ADV Part 2A (February 19, 2021)

Item 1 Cover Page Sustain vest Asset Management, LLC 215 Western Avenue, Suite B Petaluma, CA 94952 (415) 2445003 www.sustainvest.com www.sustainfolio.com February 19, 2021FORM ADV PART 2A Brochures

How to fill out sustainvest form adv part

How to fill out sustainvest form adv part

1. To fill out the SustainVest Form ADV Part, follow these steps:
2. Start by downloading the Form ADV Part from the SustainVest website or request a copy from their office.
3. Read the instructions carefully to understand the information needed and the format of the form.
4. Gather all the necessary supporting documents, such as financial statements, client agreements, and other relevant records.
5. Begin by filling out Section 1: Identifying Information, which includes providing the name, address, and contact details of SustainVest.
6. Move on to Section 2: Investment Adviser Information, where you provide essential details about the firm's business operations, services offered, and any conflicts of interest.
7. Proceed to Section 3: Form of Organization, where you disclose the legal structure and ownership details of SustainVest.
8. Complete Section 4: Advisory Business, which requires you to provide information about the types of clients you serve, your investment strategies, and any additional business activities.
9. Fill out Section 5: Fees and Compensation, where you disclose your fee structure, any performance-based fees, and other compensation arrangements.
10. Move on to Section 6: Performance-Based Fees and Side-by-Side Management, if applicable. This section requires additional disclosures regarding performance-based fees and potential conflicts of interest.
11. Complete Section 7: Types of Clients, where you detail the types of clients SustainVest serves and any requirements or restrictions for potential clients.
12. Proceed to Section 8: Methods of Analysis, Investment Strategies, and Risk of Loss. Provide a detailed description of your investment strategies, risk factors, and analysis methods.
13. Fill out Section 9: Disciplinary Information, if applicable. Disclose any disciplinary actions or legal proceedings against the firm or its employees.
14. Complete Section 10: Other Financial Industry Activities and Affiliations, where you list any other financial industry roles or affiliations.
15. Proceed to Section 11: Code of Ethics, Participation or Interest in Client Transactions, and Personal Trading. Disclose your code of ethics, any participation or interest in client transactions, and employee personal trading policies.
16. Fill out Section 12: Brokerage Practices. Provide details on your brokerage practices and any potential conflicts of interest.
17. Complete Section 13: Review of Accounts, where you describe how you review client accounts and measure their performance.
18. Proceed to Section 14: Client Referrals and Other Compensation. Disclose any compensation arrangements for client referrals or other forms of compensation.
19. Fill out Section 15: Custody. Provide details on how client assets are held and any safeguards in place to protect them.
20. Complete Section 16: Investment Discretion, where you disclose any authority to make investment decisions on behalf of clients.
21. Finally, sign and date the form, certifying that the information provided is accurate and complete.
22. Keep a copy of the filled-out Form ADV Part for your records and submit the original to the relevant regulatory authority.

Who needs sustainvest form adv part?

1. Anyone who operates as an investment adviser or a firm offering advisory services in the financial industry needs to fill out the SustainVest Form ADV Part.
2. This includes financial professionals and firms that manage client assets, provide investment advice, or engage in other advisory activities.
3. The form serves as a regulatory requirement to disclose critical information about the adviser's business operations, services offered, fee structure, conflicts of interest, and other relevant details.
4. By completing the Form ADV Part, investment advisers ensure transparency and compliance with regulatory guidelines, providing potential clients with essential information for informed decision-making.

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What is sustainvest form adv part?

Sustainvest Form ADV Part is a form that investment advisers are required to file with the Securities and Exchange Commission (SEC) in order to register with them.

Who is required to file sustainvest form adv part?

Investment advisers who manage assets for clients and meet certain criteria are required to file Sustainvest Form ADV Part.

How to fill out sustainvest form adv part?

Sustainvest Form ADV Part can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of sustainvest form adv part?

The purpose of Sustainvest Form ADV Part is to provide the SEC and clients with information about an investment adviser's business practices, services offered, fees charged, and any disciplinary history.

What information must be reported on sustainvest form adv part?

Information such as the adviser's ownership, business practices, disciplinary history, fees charged, and services offered must be reported on Sustainvest Form ADV Part.