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Name: Fillable Online Uniform Application for Investment Adviser Registration 2021 Fax Email Print - pdfFiller
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Get essential insights into FIGURE INVESTMENT ADVISORS, LLC\'s advisory registration and compliance, detailing regulatory assets, client information, and business operations.

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What is form adv?

Form ADV is a document used by investment advisors to register with the SEC and state regulators. It provides information about the advisor's business practices, fees, and any disciplinary history.

Who is required to file form adv?

Any individual or firm that provides investment advice for compensation, and manages assets or solicits clients in the United States, is required to file Form ADV.

How to fill out form adv?

To fill out Form ADV, an advisor must provide detailed information about their business, including ownership, services offered, fees, business practices, and any legal or disciplinary events. It can be completed online using the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv?

The purpose of Form ADV is to ensure transparency and provide regulators and clients with essential information about investment advisors, helping investors make informed decisions.

What information must be reported on form adv?

Form ADV requires advisors to report information such as their business structure, services offered, fee schedule, disciplinary history, ownership, and any affiliations with other businesses.

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