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Form ADV Part 3: Relationship Summary Argus Investors Counsel, Inc. Introduction Argus Investors Counsel, Inc. (AIC or we) is an investment adviser registered with the U.S. Securities and Exchange
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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
Begin by entering the name of the investment adviser.
03
Provide the SEC File number, if applicable.
04
Provide the primary business address of the investment adviser.
05
Disclose the physical locations where the investment adviser conducts business.
06
Specify the number of clients the investment adviser has.
07
Indicate whether the adviser has any solicitors.
08
Provide details about the solicitors, if applicable.
09
Disclose any category(s) of clients to whom the investment adviser provides investment supervisory services.
10
Provide information regarding the investment adviser's registration status with appropriate regulatory authorities.
11
Answer the questionnaire related to disciplinary events and conflicts of interest.
12
Provide additional information as required by the form.
13
Review the completed form for accuracy and completeness before submission.
Who needs form adv part 3?
01
Form ADV Part 3 is required to be filled out by investment advisers who have to register with the Securities and Exchange Commission (SEC) or applicable state securities regulators.
02
This form is necessary for compliance and regulatory purposes.
03
Investment advisers who manage assets exceeding certain thresholds or provide advice to certain types of clients are generally required to file Form ADV Part 3.
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What is form adv part 3?
Form ADV Part 3 is a regulatory document that investment advisors in the United States must complete to provide clients with key information about their services, fees, and investment strategies.
Who is required to file form adv part 3?
Investment advisors who are registered with the SEC or a state regulator are required to file Form ADV Part 3 as part of their overall Form ADV submission.
How to fill out form adv part 3?
To fill out Form ADV Part 3, advisors must provide accurate and clear information about their services, including fees, conflicts of interest, and investment strategies. They must also follow the specific instructions provided by the SEC.
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to ensure that clients receive standardized, important information about the advisory services provided, allowing them to make informed decisions about their investments.
What information must be reported on form adv part 3?
Form ADV Part 3 requires information about the advisory firm, including services offered, fees and compensation, disciplinary history, and the firm's investment strategies.
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