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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: SUMMIT FINANCIAL, LLC CRD Number: 299322OtherThanAnnual Amendment All
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How to fill out investment advisory disclosure brochure

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How to fill out investment advisory disclosure brochure

01
Include information about the investment advisory firm's background and qualifications.
02
Disclose any potential conflicts of interest, such as compensation arrangements or referral fees.
03
Outline the firm's investment strategies and approach to managing client assets.
04
Detail any fees and expenses associated with the advisory services.
05
Provide information on the firm's disciplinary history, if applicable.
06
Include any other relevant information that would be important for clients to know.

Who needs investment advisory disclosure brochure?

01
Individuals seeking investment advice and guidance.
02
Clients of investment advisory firms.
03
Regulatory bodies overseeing investment advisors.
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An investment advisory disclosure brochure is a formal document that investment advisers are required to provide to their clients. It outlines the advisory firm's services, fees, potential conflicts of interest, and other important information related to the investment advisory relationship.
Investment advisers registered with the Securities and Exchange Commission (SEC) or state regulatory authorities are required to file an investment advisory disclosure brochure.
To fill out an investment advisory disclosure brochure, the adviser must provide detailed information about the firm, including services offered, fee structures, investment strategies, educational background of key personnel, disclosure of conflicts of interest, and any disciplinary history of the firm or its advisers.
The purpose of the investment advisory disclosure brochure is to inform potential and current clients about the investment advisory firm's practices, fees, and disclosures, ensuring transparency and helping clients make informed decisions regarding their investments.
The investment advisory disclosure brochure must include information such as the firm's background, services offered, fees and compensation, performance metrics, client testimonials, potential conflicts of interest, and disciplinary history.
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