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This document serves as the Uniform Application for Investment Adviser Registration and Reporting for Becker Capital Management, Inc. It provides detailed identifying information, business activities, compliance measures, and disclosures about the investment adviser and its operations, including annual amendments, regulatory assets under management, client details, and assets held.
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How to fill out form adv
How to fill out form adv
01
Obtain the form ADV from the relevant regulatory agency or your financial advisor.
02
Read the instructions provided with the form carefully.
03
Fill out the 'Part 1' section, providing general information about your organization, including name, address, and contact information.
04
Complete 'Part 2' by disclosing your business practices, fees, and any conflicts of interest.
05
Review your entries for accuracy and completeness.
06
Sign and date the form.
07
Submit the form to the appropriate regulatory authority.
Who needs form adv?
01
Investment advisors and firms that provide financial services.
02
Any organization or individual that manages client assets or offers advisory services.
03
Firms seeking to register with the Securities and Exchange Commission (SEC) or state regulators.
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What is form adv?
Form ADV is a uniform application used by investment advisors to register with the SEC and state regulators, providing essential information about the advisor and their business practices.
Who is required to file form adv?
Investment advisors who are required to register with the SEC or state regulators must file Form ADV.
How to fill out form adv?
To fill out Form ADV, advisors must complete multiple parts that include information about their business, ownership, clients, and employees, as well as disclosures about disciplinary events and conflicts of interest.
What is the purpose of form adv?
The purpose of Form ADV is to provide important disclosure information to clients and prospective clients about the investment advisor's business practices, services, and potential conflicts of interest.
What information must be reported on form adv?
Form ADV requires advisors to report information about their business structure, ownership, clients, employees, compensation arrangements, and any disciplinary history, among other details.
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