Get the free Form ADV Part 3Client Relationship Summary Date: 03/30/2022

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Form ADV Part 3 Client Relationship Summary Date: 03/30/2022Item 1IntroductionHorter Investment Management, LLC is an investment advisor registered with the Securities and Exchange Commission. Brokerage

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How to fill out form adv part 3client

01

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

02

Start by entering your firm's name, SEC number, and CRD/IARD number at the top of the form.

03

Provide information about your firm's ownership. Include details about any individuals or entities that own 25% or more of your firm's voting securities or other ownership interests.

04

Next, provide information about your firm's clients. This includes the number of clients you have and the types of advisory services you offer.

05

Disclose any shared clients with any of your related persons or entities.

06

Provide information about your firm's compensation. Include details about how you charge your clients and any conflicts of interest that may arise from your compensation arrangements.

07

Disclose any disciplinary events involving you or your firm, as well as any legal or regulatory actions.

08

Provide information about any financial industry affiliations you or your firm may have.

09

Fill out the client's relationship summary section, which includes details about the types of services you offer, the fees you charge, and any investment strategies you employ.

10

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

Who needs form adv part 3client?

01

Form ADV Part 3 Client is required to be filled out by any investment adviser registered with the Securities and Exchange Commission (SEC). This includes firms that manage more than $25 million in assets or provide investment advice to registered investment companies.

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What is form adv part 3client?

Form ADV Part 3, also known as Form CRS, is a client relationship summary form that investment advisers must provide to retail investors.

Who is required to file form adv part 3client?

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

How to fill out form adv part 3client?

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 3client?

The purpose of Form ADV Part 3 is to provide retail investors with essential information about their relationship with an investment adviser.

What information must be reported on form adv part 3client?

Form ADV Part 3 must include information on the adviser's services, fees, conflicts of interest, disciplinary history, and more.

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