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Form ADV Part 3 Client Relationship Summary Date: 3/22/2021Item 1: Introduction The StanleyLaman Group, Ltd. (SLG) 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, you need to follow these steps:
02
Start by downloading the form from the Securities and Exchange Commission (SEC) website.
03
Provide your firm's information such as name, address, and contact details.
04
Fill in the details of the person completing the form, including their name and contact information.
05
Answer the questions regarding your firm's regulatory assets under management (AUM) and types of clients.
06
Provide information about your firm's ownership and control, including the names and roles of key personnel.
07
Disclose any disciplinary history or potential conflicts of interest.
08
Fill out the sections on your firm's compensation structure and fees.
09
Complete the section on your firm's investment strategies and risks.
10
Provide information on your firm's financials and balance sheet.
11
Review the completed form for accuracy and make any necessary corrections.
12
Sign and date the form.
13
Keep a copy of the completed form for your records.
14
Please note that this information is a general guide and you should consult the official instructions provided by the SEC for specific requirements.
Who needs form adv part 3?
01
Form ADV Part 3 is required by investment advisers who are registered with the Securities and Exchange Commission (SEC) and have retail investor clients.
02
It is necessary for firms providing investment advice to individuals or small businesses, as opposed to institutional clients.
03
Registered investment advisers managing more than $25 million of regulatory assets under management (AUM) are required to file Form ADV Part 3.
04
However, even if your firm manages less than $25 million of AUM, you may still need to file Form ADV Part 3 if you are required to register with state securities authorities.
05
It is recommended to consult the official guidelines 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 a required document that investment advisers file with the SEC and state regulators, providing information about their fees, services, and any disciplinary history.
Who is required to file form adv part 3?
Investment advisers who are registered with the SEC and/or state regulators are required to file Form ADV Part 3.
How to fill out form adv part 3?
To fill out Form ADV Part 3, advisers must provide accurate information about their business practices, services offered, fees charged, and any disciplinary actions. The form includes sections that must be completed accurately and disclosures that must be made clear.
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to provide clients with clear and concise information about an investment adviser's services, fees, and any potential conflicts of interest, promoting transparency and informed decision-making.
What information must be reported on form adv part 3?
Form ADV Part 3 requires reporting on the adviser's business model, types of services offered, fee structures, disciplinary history, conflicts of interest, and how clients can access additional information.
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