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Form ADV Part 3 Client Relationship Summary Date: 06/30/2020Item 1 Introduction APO Financial Services, LLC is an investment advisor registered with the Securities and Exchange Commission. Brokerage

How to fill out form adv part 3

How to fill out form adv part 3

1. To fill out Form ADV Part 3, follow these steps:
2. Start by providing your firm's identification information, including its name, address, and contact details.
3. Indicate whether it is a new filing or an amendment to a previous filing.
4. Provide the names and contact information of the individuals responsible for managing the firm and its advisory activities.
5. Disclose any conflicts of interest that may exist within your firm, including any affiliations or relationships that could impact your ability to provide unbiased advice.
6. Describe your firm's advisory business and the types of clients you serve.
7. Provide information on any solicitors or referral arrangements your firm may have.
8. Disclose any disciplinary history or legal proceedings that involve your firm or its employees.
9. Detail your firm's fee schedule and the methods used to calculate fees for your advisory services.
10. Provide information on your firm's custody practices and any safeguards in place to protect client assets.
11. Finally, review the completed form for accuracy and submit it to the appropriate regulatory authority.
12. Remember to keep a copy of the completed form for your records.

Who needs form adv part 3?

1. Form ADV Part 3 is required for investment advisers who are registered with the U.S. Securities and Exchange Commission (SEC) or applicable state securities authorities. It is used to provide clients with information about the advisory services offered, fees charged, and any potential conflicts of interest. Additionally, the form helps regulatory authorities assess the risk profile and compliance practices of the advisory firm.

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What is form adv part 3?

Form ADV Part 3 is also known as Form CRS (Customer Relationship Summary) and is a new form that investment advisers must provide to retail investors.

Who is required to file form adv part 3?

Investment advisers who offer services to retail investors are required to file Form ADV Part 3.

How to fill out form adv part 3?

Form ADV Part 3 must be completed by providing information about the adviser, their services, fees, conflicts of interest, and disciplinary history.

What is the purpose of form adv part 3?

The purpose of Form ADV Part 3 is to provide retail investors with a summary of the key information needed to make an informed decision about whether to hire an investment adviser.

What information must be reported on form adv part 3?

Form ADV Part 3 requires information about the adviser's services, fees, conflicts of interest, disciplinary history, and additional information about the adviser's regulatory requirements.