Get the free Form ADV Part II - Yellowstone Partners

Uniform Application for Investment Advisor Registration FORM ADV Part II Page 1 Name of Investment Advisor: Wind River Advisors LLC Address: 1901 Prospector Ave., Ste. 14, Mail: P.O. Box 982858, Park

How to fill out form adv part ii

How to fill out Form ADV Part II:

1. Gather all the necessary information: Before starting to fill out Form ADV Part II, make sure you have all the required information handy. This includes details about your firm's ownership, any disciplinary history, services offered, fee arrangements, and other relevant information.
2. Begin with the General Instructions section: Start by carefully reading the General Instructions section of the form. This section provides an overview of the form and explains how to complete each section correctly.
3. Provide accurate identifying information: On the first page of Form ADV Part II, you'll need to provide accurate identifying information about your firm. This includes the name, address, contact details, and other relevant information. Make sure this information is up-to-date and correct.
4. Fill out the Item 1 section: The Item 1 section asks for information about your firm's business and any affiliations. Provide accurate details about the nature of your business, the types of clients you serve, and any affiliations or relationships your firm has with other entities.
5. Complete the Item 2 section: In the Item 2 section, you'll need to disclose information about the ownership and control of your firm. This includes providing details about your firm's management structure, key personnel, and any other individuals or entities that have a significant influence or ownership interest in your firm.
6. Fill out the Item 3 section: In Item 3, you'll need to disclose any disciplinary history or legal actions involving your firm or its key personnel. Provide accurate details and be transparent about any past disciplinary events or legal matters.
7. Complete the Item 4 section: The Item 4 section requires you to describe the services your firm offers and the fee arrangements for these services. Provide a detailed overview of the services you offer and describe how you charge your clients.
8. Fill out the Item 5 section: In Item 5, you'll need to disclose any conflicts of interest that may exist within your firm's business practices. Be thorough in identifying and describing any potential conflicts of interest and explain how you manage these conflicts to ensure the best interests of your clients.
9. Complete the Item 6 section: The Item 6 section asks for information about your firm's code of ethics and any custody arrangements you may have. Provide accurate details about your firm's code of ethics and describe any custody arrangements you have in place to safeguard your clients' assets.
10. Finalize and review: Once you have completed all the sections of Form ADV Part II, take the time to review your responses and ensure accuracy. Make any necessary corrections or additions before submitting the form.

Who needs Form ADV Part II?

1. Registered investment advisers: Form ADV Part II is required to be filed by registered investment advisers with the Securities and Exchange Commission (SEC). It is a comprehensive disclosure document that provides important information to clients and prospective clients about the adviser's business operations, services offered, fee arrangements, potential conflicts of interest, and more.
2. Clients and prospective clients: While Form ADV Part II is primarily filed with the SEC for regulatory purposes, it also serves as an important document for clients and prospective clients to gain insights into an investment adviser's practices, policies, and potential risks. By reviewing this form, clients can make more informed decisions about whether to engage the services of an adviser.
3. Regulators and compliance officers: Form ADV Part II is a valuable source of information for regulators and compliance officers responsible for overseeing the conduct and operations of registered investment advisers. It helps regulators monitor compliance with applicable regulations and identify any potential risks or issues that may warrant further investigation or action.

For pdfFiller’s FAQs

What is form adv part ii?

Form ADV Part II is a disclosure document that provides key information about an investment adviser's services, fees, and potential conflicts of interest.

Who is required to file form adv part ii?

Investment advisers registered with the Securities and Exchange Commission (SEC) are required to file Form ADV Part II.

How to fill out form adv part ii?

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

What is the purpose of form adv part ii?

The purpose of Form ADV Part II is to provide clients and potential clients with important information about an investment adviser's business practices and potential conflicts of interest.

What information must be reported on form adv part ii?

Form ADV Part II must include information about the adviser's services, fees, disciplinary history, conflicts of interest, and other key aspects of the adviser's business.

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