Get the free Form ADV Part 2A

This brochure outlines the qualifications and business practices of Sterneck Capital Management, LLC, including details about investment services, fees, performance-based fees, types of clients, methods

How to fill out form adv part 2a

How to fill out Form ADV Part 2A

1. Begin by completing the introductory section, providing the name and SEC file number of the firm.
2. Include a table of contents to help readers navigate the document.
3. Describe the advisory services offered, detailing the types of clients served and investment strategies employed.
4. Disclose any fees and compensation structures, outlining how fees are calculated and when they are charged.
5. Include a section on disciplinary information, stating any legal or regulatory actions against the firm or its advisors.
6. Provide information about other financial industry affiliations that may create conflicts of interest.
7. Summarize the firm's educational qualifications and experience of key advisory personnel.
8. Highlight any additional information that clients should know, including privacy policies and client account management.
9. Ensure the document complies with regulatory requirements and is updated regularly as information changes.
10. Review the document for clarity and accuracy before distribution.

Who needs Form ADV Part 2A?

1. Investment advisors who manage client assets and are required to register with the SEC or state regulators.
2. Firms that offer investment advice to clients and need to provide a disclosure document outlining their services and fees.
3. Registered investment advisors looking to comply with regulatory requirements and ensure transparency with clients.

People Also Ask about

How to file ADV part 2?

For purposes of the IARD system, Part 2 of the Form ADV is referred to as the "Brochure." The brochure is uploaded as an attachment to Form ADV during the form filing submission process. The brochure must be converted to a text-searchable, PDF file before submission to the IARD system.

What is part 2A of form adv?

The requirements in Part 2A apply to all investment advisers registered with or applying for registration with the SEC, but do not apply to exempt reporting advisers. Every application for registration must include a narrative brochure prepared in ance with the requirements of Part 2A of Form ADV.

What is the purpose of ADV parts 2A and 2b?

This section is divided into two different sections. Part 2A is the brochure's cover page, which has the identifying information, while Part 2b is the supplement. Details must be written concisely in simple English that can be easily understood.

What does Form ADV Part 2 disclose?

Form ADV Part 2 covers disclosure requirements for preparing your firm brochure. This brochure, which must be given to each client, includes information about your firm's business practices, the fees you charge, conflicts of interest, and past disciplinary actions.

Where do you file form ADV?

FORM ADV (Part 1) – Form ADV is the Uniform Application for Investment Adviser Registration and must be completed by the applicant and filed electronically with the Investment Adviser Registration Depository (“IARD”).

When must form ADV part 2 be delivered?

Form ADV Part 2 must be delivered to clients and prospective clients before or at the time of entering into an advisory contract.

What is required on ADV Part 2B?

Part 2B of Form ADV: Brochure Supplement The supervised person's name, business address and telephone number (if different from yours). 2. Your firm's name, business address and telephone number. If your firm brochure uses a business name for your firm, use the same business name for the firm in the supplement.

How do I find my ADV part 2?

How to Find an RIA's Form ADV Part 2 Go to the SEC's Investment Adviser Search website. Look up the adviser by firm name. Click “more details” then “Part 2 Brochures.” If necessary, click the link for the most recent brochure filed.

For pdfFiller’s FAQs

What is Form ADV Part 2A?

Form ADV Part 2A is a disclosure document that investment advisers are required to provide to clients and prospective clients. It contains information about the adviser's services, fees, and business practices.

Who is required to file Form ADV Part 2A?

Investment advisers who are registered with the SEC or state regulators are required to file Form ADV Part 2A.

How to fill out Form ADV Part 2A?

To fill out Form ADV Part 2A, investment advisers must provide details on their services, investment strategies, fees, and other important disclosures in a clear and narrative format.

What is the purpose of Form ADV Part 2A?

The purpose of Form ADV Part 2A is to provide clients with essential information about the investment adviser to help them make informed decisions.

What information must be reported on Form ADV Part 2A?

Form ADV Part 2A must report information including the adviser's business practices, fees, potential conflicts of interest, and the types of clients served.