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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: DEAN CAPITAL MANAGEMENT CORPORATION CRD Number: 129824SEC ERA Final

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How to fill out form adv architect and

01

Start by filling out the general information section, including the name of the firm and the date the form is being filed.

02

Provide information on the form of organization, ownership, and control of the firm.

03

Fill out the sections on disciplinary information, conflicts of interest, and other business activities.

04

Complete the sections on fees, compensation, and financial industry affiliations.

05

Attach any necessary additional documentation and signatures before submitting the form.

Who needs form adv architect and?

01

Form ADV architect is needed by investment advisers who provide advisory services to clients and are registered with the Securities and Exchange Commission (SEC). It is a regulatory requirement for these advisers to provide detailed information about their firm, services, fees, and business practices to potential clients and regulators.

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What is form adv architect and?

Form ADV is a form filed with the U.S. Securities and Exchange Commission (SEC) by investment advisers.

Who is required to file form adv architect and?

Investment advisers who manage more than $25 million in assets are required to file Form ADV.

How to fill out form adv architect and?

Form ADV can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv architect and?

The purpose of Form ADV is to provide clients and regulatory authorities with information about an investment adviser's business operations and potential conflicts of interest.

What information must be reported on form adv architect and?

Form ADV requires information about an adviser's ownership, clients, employees, business practices, affiliations, and any disciplinary events.

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