Get the free Form ADV Part 2A 05-11-2015.doc

Form ADV: Part 2A Page 1 Item 1: Cover Page Bradley, Foster & Sargent, Inc. 185 Asylum Street, Birthplace II Hartford, Connecticut 06103 May 11, 2015, Website: www.bfsinvest.com Contact information:

How to fill out form adv part 2a

How to fill out form adv part 2a:

1. Familiarize yourself with the form: Begin by reading and understanding the instructions provided by the Securities and Exchange Commission (SEC) for form adv part 2a. This will give you a clear idea of what information needs to be provided and how to properly fill out the form.
2. Gather necessary information: Collect all the relevant details required for the form. This may include information about your firm, its structure, background, services offered, and key personnel. Ensure you have accurate and up-to-date information for each section.
3. Start with Section 1: Begin filling out the form by providing information about your firm, including its legal name, address, contact details, and any other requested information. Be sure to carefully review each field and provide accurate information.
4. Proceed to Section 2: In this section, you will need to provide information regarding your firm's business, including its registered and non-registered activities, clients, and assets under management. This section also requires details on your firm's investment strategies and any advisory fees charged.
5. Complete Section 3: This section typically requires you to provide information about any disciplinary actions or legal proceedings involving your firm or its personnel. Be thorough in disclosing any relevant information and ensure accuracy.
6. Move on to Section 4: Here, you will need to provide additional information about your firm's key personnel, including their roles, qualifications, and any disciplinary history. Provide accurate and complete details, as requested.
7. Review and sign: Carefully review all the information provided in the form for accuracy and completeness. Once you have verified all the details, sign and date the form. Keep a copy for your records.
8. Submitting the form: Depending on your firm's registration status, submit the form adv part 2a electronically through the Investment Adviser Registration Depository (IARD) system or mail a printed copy to the SEC. Ensure you follow the specified submission guidelines accurately.

Who needs form adv part 2a?

1. Registered Investment Advisers (RIAs): Under the Investment Advisers Act of 1940, SEC-registered investment advisers are required to complete and file form adv part 2a. This form provides essential information about the firm's business practices, potential conflicts of interest, and the services provided to clients.
2. Large Private Fund Advisers: Advisers managing private funds exceeding a certain threshold (currently $150 million in assets under management) are required to file form adv part 2a with the SEC. This ensures transparency and disclosure of relevant information to investors and regulatory authorities.
3. State-Registered Advisers: Some states also require investment advisers who are not registered with the SEC to file form adv part 2a at the state level. The specific requirements may vary from state to state, so it's important to consult the relevant regulations and guidelines of the state(s) in which you operate.

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What is form adv part 2a?

form adv part 2a is a document that provides information about the investment adviser's services, fees, and business practices to clients.

Who is required to file form adv part 2a?

Investment advisers registered with the SEC are required to file form adv part 2a.

How to fill out form adv part 2a?

Form adv part 2a can be filled out online through 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 adviser to help them make informed decisions.

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

Form adv part 2a must include information about the adviser's services, fees, conflicts of interest, disciplinary history, and more.

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