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Complete Form ADV for Thompson Financial Services, facilitating investment adviser registration under SEC regulations in 2016, ensuring compliance and accurate reporting.
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What is form adv?
Form ADV is a regulatory document used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulators. It provides important information about the adviser's services, fees, and investment strategies.
Who is required to file form adv?
Investment advisers who manage assets over a certain threshold or provide advisory services to clients are required to file Form ADV.
How to fill out form adv?
Form ADV consists of two parts: Part 1 requires basic information about the adviser and its business, while Part 2 requires detailed information about services, fees, and potential conflicts of interest. Advisers must provide accurate and complete information in both parts.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency to clients and regulators about the investment adviser's business practices, qualifications, and potential conflicts of interest.
What information must be reported on form adv?
Form ADV requires reporting of information such as the adviser's business structure, ownership, types of services offered, fee structure, and any disciplinary history.
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