Get the free Form ADV Part 2 March 2020
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Firm Brochure (Part 2A of Form ADV) Legal Name: FisherWealth Management, LLC Doing Business as: Rockport Financial 6543 Commerce Pkwy Suite C Dublin, OH 43017 (614) 8662850 www.rockpointefinancial.com
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How to fill out form adv part 2
How to fill out form adv part 2
01
To fill out Form ADV Part 2, follow these steps:
02
Start with the cover page which asks for basic information about your firm such as name, address, and contact details.
03
Move on to Section 1 which requires you to provide information about your firm's advisory business, including your investment strategies and any conflicts of interest.
04
Proceed to Section 2 which focuses on your firm's investment methods, such as whether you rely on discretion or follow non-discretionary models.
05
Fill out Section 3 which asks for information about your firm's employees, including their qualifications and any disciplinary history.
06
Complete Section 4 which covers your firm's financial information, including your balance sheet, income statement, and assets under management.
07
Move on to Section 5 which requires you to disclose any additional compensation arrangements or affiliations.
08
Proceed to Section 6 which asks for information about your firm's other business activities.
09
Fill out Section 7 if you have any financial industry affiliations that need to be disclosed.
10
Complete Section 8 which covers your firm's codes of ethics and privacy policies.
11
Finish by reviewing the completed form for accuracy and sign it where required.
Who needs form adv part 2?
01
Form ADV Part 2 is needed by registered investment advisers (RIAs) who manage at least $25 million in assets or who provide advice to investment companies.
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What is form adv part 2?
Form ADV Part 2 is a disclosure document that provides information about an investment adviser.
Who is required to file form adv part 2?
Investment advisers registered with the SEC are required to file Form ADV Part 2.
How to fill out form adv part 2?
Form ADV Part 2 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 2?
The purpose of Form ADV Part 2 is to provide clients and prospective clients with important information about an investment adviser's business practices, conflicts of interest, and background.
What information must be reported on form adv part 2?
Form ADV Part 2 must report information about the adviser's services, fees, disciplinary history, conflicts of interest, and other key business practices.
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