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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: PROPHET CAPITAL ASSET MANAGEMENT CRD Number: 150683Annual Amendment
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The reportsadviserinfosecgov pdf 150683form adv is needed by investment advisors or firms who are required to register with the U.S. Securities and Exchange Commission (SEC) or state securities authorities. This form is used to provide detailed information about the advisor's background, services, fees, and potential conflicts of interest. It helps regulatory authorities monitor and regulate investment advisors to protect investors and maintain the integrity of the financial markets.
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It is a form used to report information about investment advisers to the Securities and Exchange Commission (SEC).
Investment advisers who meet certain criteria are required to file the form with the SEC.
The form must be completed accurately and submitted electronically through the SEC's Investment Adviser Registration Depository (IARD) system.
The purpose of the form is to provide the SEC with important information about an investment adviser's business, clients, and potential conflicts of interest.
The form requires information about the adviser's ownership, key personnel, business practices, fees, and disciplinary history.
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