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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: OXFORD REAL ESTATE Advisers INC CRD Number: 107209Annual Amendment All

How to fill out secgov form adv and

How to fill out secgov form adv and

1. Download the SEC Form ADV from the official SEC website.
2. Fill in the general information section, including the name and address of the investment adviser, business structure, and contact information.
3. Provide information about the investment adviser's ownership, control persons, and any disciplinary history.
4. Disclose information about the investment adviser's clients, fees, services provided, and any conflicts of interest.
5. Complete any additional sections required by the SEC, such as details about the adviser's compliance program or other disclosures.
6. Review the completed form for accuracy and make any necessary corrections before submitting it to the SEC.

Who needs secgov form adv and?

1. Investment advisers who have more than $25 million in assets under management or who provide services to at least 15 clients need to file SEC Form ADV.
2. Investment advisers looking to register with the SEC or maintain their registration must also submit Form ADV.

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What is secgov form adv and?

SEC Form ADV is a registration form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulatory authorities. It provides detailed information about the adviser's business, services, and compensation.

Who is required to file secgov form adv and?

Investment advisers who manage a certain amount of assets or provide investment advice to clients are required to file Form ADV. Specifically, any adviser managing $110 million or more in assets under management must register with the SEC.

How to fill out secgov form adv and?

Form ADV consists of two parts: Part 1 requires information about the adviser's business, ownership, and clients, while Part 2 provides a narrative brochure detailing services, fees, and conflicts of interest. Advisers must complete online through the Investment Adviser Registration Depository (IARD) and confirm the accuracy of the information provided.

What is the purpose of secgov form adv and?

The purpose of Form ADV is to provide regulators and clients with important information about investment advisers, including their business practices, fees, services, and potential conflicts of interest, to ensure transparency and protect investors.

What information must be reported on secgov form adv and?

Form ADV requires disclosures about the adviser's identity, ownership structure, business practices, services offered, fees charged, disciplinary history, conflicts of interest, and financial condition.