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This document serves as a registration application for investment advisers and reporting by exempt reporting advisers. It includes identifying information, business details, and ongoing compliance requirements. The adviser, SHB Advisors, LLC, is based in Washington, DC, with a focus on providing investment advisory services to clients, including high net worth individuals.

How to fill out form adv

How to fill out form adv

1. Begin by downloading the Form ADV from the appropriate regulatory agency's website.
2. Review the instructions provided on the form to understand the information required.
3. Fill out the basic information section, including your firm’s name, address, and contact information.
4. Complete the section regarding the types of services offered and your investment strategies.
5. Provide information about your firm's ownership, control, and management.
6. Disclose any disciplinary history or regulatory issues for the firm and key personnel.
7. Include information about your fees and any conflicts of interest.
8. Review the completed form for accuracy and completeness.
9. Submit the form through the appropriate submission channel as directed.

Who needs form adv?

1. Investment advisors and firms providing investment services must fill out Form ADV.
2. Regulatory bodies and agencies that oversee financial advisors require this form to ensure compliance.
3. Clients seeking to hire an investment advisor often review Form ADV to understand their services and background.

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What is form adv?

Form ADV is a mandatory form used by investment advisers to register with the SEC and state regulators, providing detailed information about the business, ownership, and investment practices.

Who is required to file form adv?

Investment advisers who manage client assets or provide investment advice for a fee are required to file Form ADV.

How to fill out form adv?

To fill out Form ADV, advisers must provide information about their business structure, services offered, fees, and disciplinary history, among other details. It is divided into two parts: Part 1 requires general information, and Part 2 consists of a narrative brochure for clients.

What is the purpose of form adv?

The purpose of Form ADV is to provide transparency and information to clients and regulators about the investment adviser's qualifications, business practices, and any potential conflicts of interest.

What information must be reported on form adv?

Form ADV must report information such as the adviser's business name, address, ownership, services provided, fees, client types, assets under management, and any disciplinary history.