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OMB APPROVAL OMB Number: 3235-0049 February 28, 2011, Expires: Estimated Average burden Hours per response..........4.07 FORM ADV Uniform Application for Investment Adviser Registration Part II Page

How to fill out form adv uniform application

How to Fill Out Form ADV Uniform Application:

1. Begin by obtaining a copy of the Form ADV Uniform Application from the Securities and Exchange Commission (SEC) website or by contacting the SEC directly.
2. Carefully review the instructions provided with the form. These instructions will provide guidance on how to properly complete each section of the form and will help ensure accuracy.
3. Provide your firm's identifying information, such as the name, address, and contact details. Include any DBA (doing business as) names, if applicable.
4. Indicate whether your firm is organized as a sole proprietorship, partnership, corporation, or other entity type.
5. Disclose any disciplinary information about your firm and its key personnel. This includes any criminal, regulatory, or civil actions taken against the firm or its employees.
6. Provide details about your firm's business practices, investment strategies, and any conflicts of interest that may arise. Be thorough and transparent, as this information is crucial for regulatory compliance.
7. Document your firm's fee structure, including how and when fees are calculated, any performance-based fees, and any additional compensation received by your firm or its employees.
8. Disclose information about your firm's client base, including the types of clients you serve and any minimum account requirements.
9. Include details about your firm's advisory activities, such as the types of securities you advise on and any jurisdictions where you operate.
10. Ensure all required attachments and exhibits are properly included with your completed form. These may include financial statements, disclosure brochures, contracts, and other supporting documents.

Who Needs Form ADV Uniform Application:

1. Registered Investment Advisers (RIAs) are required to file a Form ADV with the SEC or state securities regulators. This form is used to register as an investment adviser and provides vital information about the firm's operations, services, and key personnel.
2. Exempt reporting advisers (ERAs) who manage private funds are also required to file Form ADV. ERAs have to take advantage of exemptions from full registration with the SEC but still need to provide basic information about their firm and its activities.
3. Both newly-formed and existing advisory firms may need to submit a Form ADV depending on their registration status and the regulatory requirements of their jurisdiction.

Note: Consult with legal counsel or a compliance professional for accurate and up-to-date information on form filing requirements and to ensure compliance with regulatory obligations.

For pdfFiller’s FAQs

What is form adv uniform application?

Form ADV is a uniform application for Investment Adviser Registration.

Who is required to file form adv uniform application?

Investment advisers are required to file Form ADV.

How to fill out form adv uniform application?

Form ADV must be completed online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv uniform application?

The purpose of Form ADV is to provide the Securities and Exchange Commission (SEC) with key information about an investment adviser's business operations.

What information must be reported on form adv uniform application?

Form ADV requires information about the adviser's business practices, fees, conflicts of interest, disciplinary history, and more.

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