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Form ADV Part 3 (Form CRS) Client Relationship Summary 09/25/2020 Item 1: Introduction Shutter Advisory Group, LLC is an investment adviser registered with the Securities and Exchange Commission.
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How to fill out form adv part 3
How to fill out form adv part 3
01
To fill out Form ADV Part 3, follow these steps:
02
Start by downloading Form ADV Part 3 from the Securities and Exchange Commission (SEC) website.
03
Read the instructions provided with the form thoroughly to understand the requirements and sections of the form.
04
Begin by providing the necessary general information about your firm, such as its name, address, and contact details.
05
Proceed to fill out the sections related to your disciplinary history, including any legal or regulatory actions taken against your firm.
06
Provide details about your firm's business practices, investment strategies, and any conflicts of interest that may exist.
07
Include information about the qualifications and experience of key personnel in your firm.
08
Describe your fee structure and any compensation arrangements.
09
Fill out the sections related to your firm's financials, including assets under management and sources of revenue.
10
Review the completed form to ensure accuracy and completeness.
11
Sign and date the form.
12
Submit the form electronically through the Investment Adviser Registration Depository (IARD) system or by mail to the SEC.
Who needs form adv part 3?
01
Form ADV Part 3 is required for investment advisers who are registered with the SEC.
02
It is a mandatory filing for firms offering personalized investment advice to retail clients.
03
Registered investment advisers with over $25 million in assets under management (AUM) are typically required to file Form ADV Part 3.
04
However, even advisers with less than $25 million AUM may still be required to file depending on state regulations.
05
It is important to consult the SEC's rules and regulations or seek legal advice to determine if your firm needs to file Form ADV Part 3.
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What is form adv part 3?
Form ADV Part 3 is also known as Form CRS (Client Relationship Summary). It is a form that investment advisers are required to provide to their retail clients.
Who is required to file form adv part 3?
Investment advisers who offer services to retail clients are required to file Form ADV Part 3.
How to fill out form adv part 3?
Form ADV Part 3 can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to provide retail clients with key information about the advisory services, fees, conflicts of interest, and disciplinary history of an investment adviser.
What information must be reported on form adv part 3?
Form ADV Part 3 requires investment advisers to provide information about their services, fees, conflicts of interest, disciplinary history, and the qualifications of their firm and employees.
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