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Form ADV Part 3: Relationship Summary United Capital Management of Kansas, Inc. Introduction United Capital Management of Kansas, Inc. (UCM or we) is an investment adviser registered with the U.S.
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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
Start by downloading the form from the official website
03
Provide your firm's name, address, and contact information in Section 1
04
Fill out Section 2 with details about your firm's ownership structure and control
05
In Section 3, provide information about your firm's client base and the services you offer
06
Complete Section 4 with details about any affiliations or relationships your firm has
07
Provide information about your firm's compensation structure in Section 5
08
Section 6 requires you to provide information about your firm's disciplinary history
09
In Section 7, disclose any additional information that may be relevant
10
Review the completed form for accuracy and make any necessary corrections
11
Finally, sign and date the form before submitting it to the appropriate regulatory authority
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 operate as a standalone firm
02
The form is used to provide important information to clients and potential clients about the firm's services, fees, and any disciplinary history
03
It is also necessary for firms that offer advisory services to retail investors and are required to provide a relationship summary as part of their obligations under the Investment Advisers Act of 1940
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What is form adv part 3?
Form ADV Part 3 is also known as Form CRS (Client Relationship Summary).
Who is required to file form adv part 3?
All SEC-registered investment advisers 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 advisory 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 adviser's business practices, conflicts of interest, disciplinary history, and fees.
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