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Wellington Asset Management, LLC 8900 Keystone Crossing, Suite 1015 Indianapolis, Indiana 46240 Telephone: 3175758670 Facsimile: 3175758671 Website: www.wallingtonasset.com 03082021 FORM ADV PART

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How to fill out wam form adv part

01

To fill out the WAM Form ADV Part, follow these steps:

02

Begin by providing your organization's name, address, and contact information.

03

Next, indicate the date of your initial Form ADV Part filing.

04

Section 1 requires detailed information about your firm's business, including its structure, ownership, and any affiliations.

05

In Section 2, provide information about your firm's disciplinary history, if applicable.

06

Section 3 requires details about your firm's advisory services, including the types of clients you serve and the investment strategies you use.

07

In Section 4, provide information about your firm's fees and compensation, including how you calculate and collect fees from clients.

08

Section 5 focuses on your firm's custody and client assets, if applicable.

09

Section 6 requires information about your firm's financial industry affiliations and relationships.

10

Finally, review the form for accuracy and completeness before submitting it to the appropriate regulatory authority.

11

Note: The WAM Form ADV Part may have additional sections or requirements depending on your firm's specific circumstances. Consult the instructions provided with the form for further guidance.

Who needs wam form adv part?

01

The WAM Form ADV Part is required for investment advisers registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940. It is also required for state-registered investment advisers. Any individual or entity that provides investment advisory services for compensation is generally required to file Form ADV with the appropriate regulatory authority.

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What is wam form adv part?

WAM Form ADV Part is a regulatory document used by investment advisers to provide detailed information about their business practices, the services they offer, and the fees they charge.

Who is required to file wam form adv part?

Investment advisers who manage assets or offer financial advice to clients are required to file WAM Form ADV Part.

How to fill out wam form adv part?

To fill out WAM Form ADV Part, advisers must provide specific details regarding their business structure, investment strategies, and compensation methods as required in various sections of the form.

What is the purpose of wam form adv part?

The purpose of WAM Form ADV Part is to ensure transparency in the advisory industry and to provide essential information to clients and regulators about an adviser's practices and potential conflicts of interest.

What information must be reported on wam form adv part?

WAM Form ADV Part must report information such as the adviser's business model, types of clients, investment strategies, fee structures, and any disciplinary history.

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