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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: COVE FINANCIAL PLANNING, LLC CRD Number: 301217OtherThanAnnual Amendment
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How to fill out registered investment advisor ria

01
Determine if you meet the qualifications to become a registered investment advisor (RIA) such as passing the Series 65 exam and having the required experience.
02
Prepare your Form ADV which includes information about your business, services offered, fees, and conflicts of interest.
03
Register with the Securities and Exchange Commission (SEC) or state securities regulators depending on the size of your assets under management.
04
Develop a compliance program to adhere to regulatory requirements such as record-keeping, disclosures, and annual filings.
05
Ensure ongoing compliance by regularly reviewing and updating your policies and procedures.

Who needs registered investment advisor ria?

01
Individuals or firms that offer investment advice for a fee and manage assets on behalf of clients need a registered investment advisor (RIA). This includes financial planners, wealth managers, and investment advisors.
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A registered investment advisor (RIA) is a firm that provides financial advice to clients and is registered with the Securities and Exchange Commission (SEC) or state securities authorities.
RIAs are required to file with the SEC or state securities authorities if they manage assets above certain thresholds.
RIAs must complete Form ADV, which is a registration document that provides information about the firm, its business practices, and any disciplinary history.
The purpose of an RIA is to provide clients with personalized financial advice and investment management services.
Information reported on Form ADV includes details about the firm's ownership, clients, employees, conflicts of interest, and fees.
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