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FORM ADV PART 2A DISCLOSURE BROCHUREOffice Address: 700 N Carroll Ave, Ste 110 South lake, TX 76092 Tel: (817) 8704680 Toll Free: (888) 8704680 Fax: (817) 8701995Email: william.riley@rileyprivateclient.com

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How to fill out form adv part 2a

01

Start by obtaining a copy of Form ADV Part 2A from the SEC's website or your investment advisor.

02

Fill in the basic information about your investment advisor, including name, address, and contact information.

03

Provide details about the services offered by your investment advisor, including fees and compensation structures.

04

Disclose any conflicts of interest that may arise from the services provided by your investment advisor.

05

Include information about the educational background and work experience of key personnel at the investment advisor.

06

Provide information about any disciplinary history or legal actions against the investment advisor or its employees.

07

Review the completed form for accuracy and completeness before submitting it to the SEC.

Who needs form adv part 2a?

01

Investment advisors registered with the Securities and Exchange Commission (SEC) are required to fill out Form ADV Part 2A.

02

Clients of investment advisors may also benefit from reviewing Form ADV Part 2A to better understand the services and potential conflicts of interest of their advisor.

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What is form adv part 2a?

Form ADV Part 2A is a document that registered investment advisors must use to disclose their services, fees, investment strategies, and potential conflicts of interest to clients.

Who is required to file form adv part 2a?

Registered investment advisors are required to file Form ADV Part 2A with the Securities and Exchange Commission.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out electronically using the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about an investment advisor's business practices and services.

What information must be reported on form adv part 2a?

Form ADV Part 2A requires investment advisors to disclose information about their business practices, fees, services, conflicts of interest, and disciplinary history.

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