Get the free Form ADV Firm Brochure HighTower Advisors, LLC

Form ADV Firm Brochure Hightower Advisors, LLC 200 W. Madison St., Suite 2500 Chicago, IL 60606 312-962-3800 www.hightoweradvisors.com Compliance hightoweradvisors.com March 30, 2015, Hightower Advisors,

How to fill out form adv firm brochure

How to Fill Out Form ADV Firm Brochure:

1. Gather the necessary information: Before starting to fill out the Form ADV Firm Brochure, gather all the required information such as the firm's name, address, contact details, registration number, and any other relevant information.
2. Provide basic firm information: Start by filling in the basic information about the firm, including its name, address, and contact details. This information will be used to identify the firm properly.
3. Describe the firm's business: In this section, describe the nature of the firm's business, including the types of services offered, any specialties or areas of expertise, and the target market or client base.
4. Disclose ownership and control: Provide details about the ownership and control structure of the firm. Include information about all individuals and entities that have a controlling interest in the firm, including directors, partners, or shareholders.
5. Disclose disciplinary information: If the firm or any of the key individuals involved have faced any disciplinary actions or regulatory issues in the past, provide the necessary details in this section. Include any relevant information about legal or compliance issues.
6. Provide fee information: Outline the firm's fee structure, including how fees are calculated, any applicable charges, and any fee arrangements specific to different types of clients or services. Be transparent and accurate in disclosing the fee-related information.
7. Provide conflicts of interest information: Describe any conflicts of interest that the firm or its employees may have that could impact the client's interests. This may include any financial or personal relationships that could potentially influence the advice or services provided.
8. Attach required documents: Make sure to attach any necessary documents mentioned in the Form ADV Firm Brochure, such as the firm's code of ethics, privacy policy, or other relevant disclosures.

Who Needs Form ADV Firm Brochure:

1. Registered Investment Advisers (RIAs): RIAs are required by the United States Securities and Exchange Commission (SEC) or state securities authorities to deliver a compliant Form ADV Firm Brochure to clients and prospective clients as part of the client disclosure requirements.
2. Financial advisory firms: Firms or individuals engaged in providing financial advice, managing assets, or offering investment-related services need to have a Form ADV Firm Brochure in order to comply with regulatory obligations and provide transparency to clients.
3. Compliance-conscious firms: Even if not specifically required by regulatory authorities, firms that prioritize compliance and consumer protection may choose to create a Form ADV Firm Brochure as a best practice to ensure clear disclosures and transparent communication with clients.

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What is form adv firm brochure?

Form ADV firm brochure is a document that provides key information about a registered investment advisor firm, such as its services, fees, conflicts of interest, disciplinary information, and key personnel.

Who is required to file form adv firm brochure?

Registered investment advisor firms are required to file Form ADV firm brochure with the Securities and Exchange Commission (SEC) or state securities authorities.

How to fill out form adv firm brochure?

The Form ADV firm brochure is filled out electronically through the Investment Adviser Registration Depository (IARD) system. Advisors must provide accurate and complete information about their firm and its operations.

What is the purpose of form adv firm brochure?

The purpose of the Form ADV firm brochure is to provide clients and prospective clients with important information about the advisor firm, helping them make informed decisions about their investments.

What information must be reported on form adv firm brochure?

Information such as the advisor firm's services, fees, conflicts of interest, disciplinary information, key personnel, and other relevant details must be reported on the Form ADV firm brochure.