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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CADENZA & CO LLC CRD Number: 108135OtherThanAnnual Amendment All Sections

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How to fill out form adv brochures

01

Obtain a copy of the Form ADV brochure from the investment advisor or financial firm.

02

Review the brochure carefully, paying special attention to the information regarding services offered, fees charged, investment strategies, and potential conflicts of interest.

03

Fill out any required fields on the brochure, such as personal information, investment objectives, risk tolerance, and financial situation.

04

Sign and date the brochure where indicated, acknowledging that you have received and reviewed the information provided.

05

Submit the completed brochure according to the instructions provided by the investment advisor or financial firm.

Who needs form adv brochures?

01

Investors who work with a registered investment advisor (RIA) or financial firm registered with the Securities and Exchange Commission (SEC) are typically required to receive a Form ADV brochure.

02

Certain state-registered investment advisors may also provide Form ADV brochures to their clients, depending on individual state regulations.

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What is form adv brochures?

Form ADV brochures are documents that investment advisers use to provide information about their services, fees, and strategies to clients and potential clients.

Who is required to file form adv brochures?

Investment advisers registered with the SEC are required to file Form ADV brochures.

How to fill out form adv brochures?

Form ADV brochures can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv brochures?

The purpose of Form ADV brochures is to provide transparency and disclosure to clients about the operations and services of investment advisers.

What information must be reported on form adv brochures?

Form ADV brochures must include information about the adviser's business practices, disciplinary history, conflicts of interest, and more.

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