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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: FC PCRD Number: 161468Annual Amendment All Sections Rev. 03/20203/31/2021

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How to fill out form adv sec

01

To fill out Form ADV SEC, follow these steps:

02

Start by providing general information about your firm, such as its name, address, and contact details.

03

Specify the type of organization and ownership structure of your firm.

04

Describe any affiliations, including other companies or individuals that have control over your firm.

05

Indicate whether your firm is acting as an investment adviser, a sub-adviser, or a wrap fee program sponsor.

06

Provide details about management and control persons within your firm.

07

Disclose any disciplinary events, legal proceedings, or regulatory actions involving your firm or its employees.

08

Report information about your firm's advisory business, including the types of clients you serve and the services you offer.

09

Provide details about your firm's fee schedule, compensation arrangements, and potential conflicts of interest.

10

Submit any relevant financial information, including assets under management and balance sheet details.

11

Acknowledge any potential risks or conflicts associated with your firm's business operations.

12

Review and sign the completed Form ADV SEC before submitting it to the appropriate regulatory authority.

Who needs form adv sec?

01

Form ADV SEC is required for investment advisers who are registered or required to register with the Securities and Exchange Commission (SEC).

02

It is necessary for firms managing a certain amount of regulatory assets, providing investment advice as part of their business, or operating as a sub-adviser or wrap fee program sponsor.

03

Additionally, certain state securities authorities may also require the filing of Form ADV SEC for investment advisers operating within their jurisdiction.

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What is form adv sec?

Form ADV SEC is a form filed with the U.S. Securities and Exchange Commission (SEC) by investment advisers.

Who is required to file form adv sec?

Investment advisers who meet certain criteria are required to file Form ADV SEC.

How to fill out form adv sec?

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

What is the purpose of form adv sec?

The purpose of Form ADV SEC is to provide information about the investment adviser's business practices, conflicts of interest, and disciplinary history.

What information must be reported on form adv sec?

Form ADV SEC requires information about the adviser's business operations, fees, services, and affiliations.

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