Get the free Form ADV Part 3 August 19, 2020 - reports.adviserinfo.sec.gov

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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: WILLIAMS FINANCIAL GROUP CRD Number: 310008Annual Amendment All Sections

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How to fill out form adv part 3

01

To fill out Form ADV Part 3, follow these steps:

02

Start by providing your firm's name, address, and SEC file number.

03

Mention the date of your fiscal year end and the total number of assets managed.

04

Indicate whether your firm is an exempt reporting adviser or a state-registered adviser.

05

Provide details about your business, including the types of clients you serve and the services you offer.

06

Disclose any conflicts of interest that may arise from your firm's business practices.

07

Describe your firm's compensation structure and fee schedule.

08

Provide information about your firm's employees, including their qualifications and disciplinary history.

09

Outline any additional material facts about your firm that would be important for clients to know.

10

Sign and date the form, and make sure to keep a copy for your records.

Who needs form adv part 3?

01

Form ADV Part 3 is required for investment advisers who operate a separate or stand-alone business that provides investment advisory services to retail investors. Retail investors refer to individuals who are not considered institutional buyers or qualified purchasers.

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What is form adv part 3?

Form ADV Part 3 is also known as Form CRS which is required by investment advisers registered with the SEC or the states.

Who is required to file form adv part 3?

Investment advisers registered with the SEC or the states 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 investors with information about the firm, its services, fees, conflicts of interest, and disciplinary history.

What information must be reported on form adv part 3?

Form ADV Part 3 requires information about the advisory firm's services, fees, conflicts of interest, disciplinary history, and key personnel.

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