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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: GOLDEN BELL FINANCIAL PLANNING, LLC CRD Number: 305635OtherThanAnnual
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How to fill out form adv part 3
How to fill out form adv part 3
01
Obtain a copy of Form ADV Part 3 from the SEC website or your investment adviser.
02
Fill in the basic information about the firm, including name, address, contact information, and SEC file number.
03
Provide details about the types of clients the firm serves, including retail clients, high net worth clients, and institutional clients.
04
Disclose any conflicts of interest that the firm may have, including compensation arrangements and business affiliations.
05
Detail the firm's investment strategies, including the types of securities and investment products used.
06
Provide information on the firm's fees and compensation structure, including any performance-based fees.
07
Disclose any disciplinary history or legal proceedings involving the firm or its employees.
08
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 need Form ADV Part 3. This form, also known as Form CRS (Customer Relationship Summary), is designed to provide retail investors with information about the firm's services, fees, conflicts of interest, and disciplinary history.
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What is form adv part 3?
Form ADV Part 3 is also known as Form CRS (Customer Relationship Summary), which is a form required by the Securities and Exchange Commission (SEC) for investment advisers to provide to retail investors.
Who is required to file form adv part 3?
SEC-registered investment advisers who have retail investors are required to file Form ADV Part 3.
How to fill out form adv part 3?
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 3?
The purpose of Form ADV Part 3 is to provide retail investors with information about the services offered, fees charged, disciplinary history, conflicts of interest, and other pertinent details about the investment adviser.
What information must be reported on form adv part 3?
Information such as services offered, fees charged, disciplinary history, conflicts of interest, and other key details about the investment adviser must be reported on Form ADV Part 3.
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