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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: PLATINUM PLANNING, INC.CRD Number: 120213Annual Amendment All SectionsRev.
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Who needs firm brochure form adv?
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Financial advisors or firms who want to provide potential clients with information about their services, fees, and investment strategies.
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What is firm brochure form adv?
The firm brochure Form ADV is a disclosure document that investment advisers provide to clients and prospective clients. It outlines the adviser’s business practices, fees, conflicts of interest, and other important information.
Who is required to file firm brochure form adv?
Investment advisers who manage assets or provide investment advice for a fee are required to file Form ADV. This includes both registered investment advisers and those that are exempt from registration.
How to fill out firm brochure form adv?
To fill out Form ADV, advisers must provide information pertaining to their business, including but not limited to the firm’s structure, ownership, types of services offered, fee structures, and disciplinary history. It's recommended to follow the instructions provided by the SEC and potentially seek legal guidance.
What is the purpose of firm brochure form adv?
The purpose of Form ADV is to provide transparency in the investment advisory industry, ensuring that clients have access to essential information regarding the adviser’s qualifications, services, and potential conflicts of interest.
What information must be reported on firm brochure form adv?
The Form ADV must report information such as the adviser's business model, fees, types of clients, investment strategies, disciplinary history, and information about any affiliated financial institutions.
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