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Form ADV Part 3: Relationship Summary AE Wealth Management, LLC Introduction AE Wealth Management is an investment adviser registered with the U.S. Securities and Exchange Commission. We offer our

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How to fill out form adv part 3

01

Download form adv part 3 from the SEC website.

02

Fill in the required information about the firm, including name, address, and contact information.

03

Provide information on the firm's business practices, ownership, and any disciplinary history.

04

Disclose any conflicts of interest, fees, and compensation arrangements.

05

Include information on the firm's code of ethics and supervisory practices.

06

Review the completed form for accuracy and completeness before submitting it to the SEC.

Who needs form adv part 3?

01

Investment advisers registered with the SEC

02

Firms providing investment advisory services to clients

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What is form adv part 3?

Form ADV part 3, also known as Form CRS (Customer Relationship Summary), is a form that investment advisers are required to provide to retail investors.

Who is required to file form adv part 3?

Investment advisers who have a direct client relationship with retail investors are required to file Form ADV part 3.

How to fill out form adv part 3?

Form ADV part 3 should be filled out by providing information about the investment adviser's 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 essential information about the investment adviser before entering into a relationship with them.

What information must be reported on form adv part 3?

Form ADV part 3 must include information about the adviser's services, fees, conflicts of interest, disciplinary history, and key personnel.

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