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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: CAPE INVESTMENT ADVISORY, INC.CRD Number: 146384OtherThanAnnual Amendment

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How to fill out form adv part 3

01

Gather all necessary information and documents required to fill out Form ADV Part 3.

02

Follow the instructions provided in the form and carefully read each section before filling it out.

03

Provide accurate and up-to-date information about the investment adviser's business practices, conflicts of interest, and any disciplinary history.

04

Fill out all required sections of the form, including Part 1 (item 1-12), Part 2 (item 13-21), and any additional sections that may be relevant.

05

Review the completed form for accuracy and completeness before submitting it to the appropriate regulatory authority.

Who needs form adv part 3?

01

Investment advisers registered with the Securities and Exchange Commission (SEC) are required to fill out Form ADV Part 3.

02

Form ADV Part 3 is also known as the Client Relationship Summary (CRS) and is designed to provide key information to clients about the services offered by the investment adviser.

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What is form adv part 3?

Form ADV Part 3 is a filing that investment advisers must submit, which includes information about the firm, its business practices, and the services offered to clients.

Who is required to file form adv part 3?

Any investment adviser registered or required to register with the Securities and Exchange Commission (SEC) or a state regulatory authority must file Form ADV Part 3.

How to fill out form adv part 3?

Form ADV Part 3 is filled out by providing details about the advisory firm, including business structure, services offered, fees, conflicts of interest, and disciplinary history.

What is the purpose of form adv part 3?

The purpose of Form ADV Part 3 is to provide clients and prospective clients with important information regarding the investment adviser's services, fees, conflicts of interest, and other relevant factors to make informed decisions.

What information must be reported on form adv part 3?

The information that must be reported includes the types of services provided, fees and compensation, disciplinary history, risk disclosures, and the adviser's fiduciary duty to clients.

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