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OMB APPROVAL OMB Number: 3235-0049 February 28, 2011, Expires: Estimated Average burden Hours per response..........4.07 FORM ADV Uniform Application for Investment Adviser Registration Part II Page

How to fill out form adv uniform application

How to fill out form adv uniform application:

1. Start by gathering all the necessary information required for the form. This includes personal details such as your name, address, and contact information, as well as information about your firm, its structure, and its operations.
2. Carefully review the instructions provided with the form adv uniform application. This will help you understand how to properly fill out each section and ensure that you provide all the required information.
3. Begin filling out the form by providing your firm's identifying information, such as its name, address, and employer identification number (EIN). Be accurate and double-check the information for any errors or discrepancies.
4. Move on to the sections that require you to disclose information about your firm's advisory business. This includes details about your clients, the types of investments you offer, your fee structure, and any disciplinary history or legal proceedings.
5. Provide information about your firm's key personnel, such as its principal executive officers and other individuals who have a significant role in the advisory business. Include their names, positions, qualifications, and any relevant professional experience.
6. Make sure to disclose any conflicts of interest that your firm may have. This includes any affiliations, relationships, or financial arrangements that could compromise your ability to act in the best interests of your clients.
7. If applicable, complete the form's wrap fee program brochure section. This is required if your firm offers clients a wrap fee program, which is a bundled advisory service that includes investment advice and transaction execution.
8. Carefully review your completed form adv uniform application for any errors or missing information. It is essential to be thorough and accurate in your responses to ensure compliance with regulatory requirements.

Who needs form adv uniform application:

1. Registered investment advisers (RIAs) are required to file form adv uniform application with the Securities and Exchange Commission (SEC) or their respective state securities regulators, depending on the amount of assets under management (AUM).
2. RIAs with AUM of $100 million or more must file form adv uniform application with the SEC.
3. RIAs with AUM of less than $100 million must file form adv uniform application with their state securities regulators, unless they fall under an exemption provided by the SEC.
4. Filing form adv uniform application is necessary for RIAs to register with the appropriate regulatory authorities and comply with securities laws and regulations.
5. Certain exemptions from registration may apply based on the size, nature, or location of the advisory firm, but even in such cases, specific regulatory filings may still be required.
6. It is important for RIAs to determine whether they meet the thresholds for form adv uniform application filing and to comply with ongoing reporting requirements to maintain their registration status.

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