Get the free Form ADV Part II - JSHM Edited Version 2 3-31-11

Part2AofFormADV:FirmBrochure Item1CoverPage SmithAffiliatedCapitalCorp. 800ThirdAvenue,12thFloor New York,NY10022 Tel:(212)6449440 Fax:(212)6441979 www.smithcapital.com March31,2011 This Brochure

How to fill out form adv part ii

How to fill out Form ADV Part II:

1. Start by carefully reviewing the instructions for Form ADV Part II provided by the Securities and Exchange Commission (SEC).
2. Gather all the necessary information and documents, such as your firm's background, services offered, fees and compensation, disciplinary information, and any conflicts of interest.
3. Begin filling out the form by providing your firm's identifying information, including name, address, and contact details.
4. Proceed to disclose information about your firm's ownership, including any affiliates or controlling persons.
5. Next, provide details about your firm's employees, including key personnel and their experience, credentials, and disciplinary history, if applicable.
6. Disclose information about your firm's advisory business, including types of clients, investment strategies, and any material risks involved.
7. Provide details about your firm's fees and compensation structure, including how fees are calculated, any performance-based fees, and any other compensation arrangements.
8. Disclose any potential conflicts of interest your firm may have, such as affiliations with other entities, compensation received from third parties, or any personal trading activities of your advisory personnel.
9. If your firm participates in any wrap fee programs or offers solicitation arrangements, ensure that you provide accurate and complete information about these activities.
10. Finally, review the completed Form ADV Part II for accuracy and completeness before submitting it to the SEC.

Who needs Form ADV Part II:

1. Registered investment advisers (RIAs) in the United States are required to file Form ADV with the SEC or the relevant state securities regulator.
2. Form ADV consists of two parts: Part I, which provides basic information about the RIA's business, and Part II, also known as the "brochure," which contains detailed information about the advisory firm's services, fees, and potential conflicts of interest.
3. Part II of Form ADV must be made available to prospective clients and updated annually to reflect any material changes.
4. Registered investment advisers with assets under management (AUM) totaling $25 million or more are required to file with the SEC. Those with AUM below $25 million typically file with state securities authorities.
5. Form ADV Part II serves as an important disclosure document for existing and prospective clients, allowing them to make informed decisions about engaging the services of an RIA.
6. Compliance with Form ADV and its disclosure requirements helps promote transparency, consumer protection, and regulatory oversight in the investment advisory industry.

For pdfFiller’s FAQs

What is form adv part ii?

Form ADV Part 2 is a document that provides in-depth information about a registered investment adviser's services, fees, and strategies.

Who is required to file form adv part ii?

All registered investment advisers are required to file Form ADV Part 2 with the Securities and Exchange Commission (SEC) or state securities regulators.

How to fill out form adv part ii?

Form ADV Part 2 must be filled out accurately and completely, covering all required sections such as information about the adviser's services, fees, conflicts of interest, disciplinary history, and more.

What is the purpose of form adv part ii?

The purpose of Form ADV Part 2 is to provide clients and potential clients with important information about the registered investment adviser's business practices and potential conflicts of interest.

What information must be reported on form adv part ii?

Form ADV Part 2 requires information about the adviser's services, fees, investment strategies, disciplinary history, conflicts of interest, and other key aspects of the adviser's business operations.

How do I make changes in form adv part ii?

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