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This document serves as the official application for investment adviser registration, detailing the structure, business activities, client information, and compliance practices of William Cary Capital Management. It includes identifying information, advisory services provided, regulatory assets under management, and disclosure of any relevant affiliations or potential conflicts of interest.

How to fill out form adv

How to fill out form adv

1. Step 1: Obtain the form ADV from the appropriate regulatory authority or website.
2. Step 2: Begin by filling out Part 1 of the form, which requires basic information about your business, including name, address, and contact information.
3. Step 3: Complete Part 2 of the form, which involves a narrative description of your services, fees, and any conflicts of interest.
4. Step 4: Answer any questions regarding your firm's ownership structure and any disciplinary history in Part 1.
5. Step 5: Sign and date the form at the end, ensuring all information provided is accurate and complete.
6. Step 6: Submit the completed form ADV electronically through the Investment Adviser Registration Depository (IARD) system.

Who needs form adv?

1. Investment advisers who manage client assets and provide financial advice must file form ADV.
2. Firms looking to register as investment advisers with the Securities and Exchange Commission (SEC) or state regulators need to submit this form.
3. Existing investment advisers must update their form ADV periodically to reflect changes in business operations or ownership.

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What is form adv?

Form ADV is a mandatory form that investment advisors in the United States must fill out and file with the Securities and Exchange Commission (SEC) and/or state regulators. It provides essential information about the advisor's business, services, and fees.

Who is required to file form adv?

Investment advisors that are registered with the SEC or state regulators are required to file Form ADV. This includes both large firms and small firms that manage client assets.

How to fill out form adv?

To fill out Form ADV, advisors must provide detailed information about their business structure, services offered, fees charged, disciplinary history, and investment strategies. The form has multiple parts, including Part 1 and Part 2, which must be completed accurately.

What is the purpose of form adv?

The purpose of Form ADV is to provide transparency to clients and regulators by disclosing key information about an investment advisor's practices, financial condition, and potential conflicts of interest.

What information must be reported on form adv?

Form ADV requires information including the advisor's name, contact details, ownership structure, types of services offered, fee structure, investment strategies, and any disciplinary actions taken against the advisor.