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This document is an application for investment adviser registration and includes details about the primary business name, regulatory obligations, and identifying information for OBRAN CAPITAL ADVISORS LLC. It outlines the requirements for providing truthful and accurate information to ensure compliance with SEC regulations and updates to maintain active registration status.

How to fill out form adv

How to fill out form adv

1. Obtain the Form ADV from the SEC or your state securities regulator's website.
2. Read the instructions carefully before filling out the form.
3. Fill out Part 1: Provide information about your firm, including legal name, address, and contact information.
4. Complete Part 2: This includes information about your business, fees, and services offered.
5. Provide details in Schedule A regarding the individuals who manage the firm.
6. Disclose any disciplinary history in Schedule B if applicable.
7. Review the completed form for accuracy and completeness.
8. Sign and date the form before submitting.
9. Submit the form electronically through the IARD system.

Who needs form adv?

1. Investment advisers who manage clients' assets.
2. Firms offering financial planning or consulting services.
3. Individuals or firms seeking to register with the SEC or state regulators.
4. Advisers interested in transparency about their practices.

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What is form adv?

Form ADV is a regulatory document used by investment advisors to register with the Securities and Exchange Commission (SEC) and state regulators. It consists of two parts: Part 1 provides information about the advisor's business, ownership, clients, and employees, while Part 2 contains narrative brochures written in plain English that detail the advisor's services, fees, and conflicts of interest.

Who is required to file form adv?

Investment advisors who manage client assets and provide investment advice for a fee are required to file Form ADV. This includes both large and small investment advisory firms that are seeking registration at the state or federal level.

How to fill out form adv?

To fill out Form ADV, advisors must provide detailed information in Part 1 regarding business structure, ownership, types of clients, and regulatory history. Part 2 requires advisors to draft a brochure that includes information on services provided, fees charged, potential conflicts of interest, and the educational background and experience of key personnel.

What is the purpose of form adv?

The purpose of Form ADV is to provide transparency and ensure that potential clients have access to important information about investment advisors. It helps regulators oversee the industry and facilitates informed decision-making by clients regarding the advisors they may choose to engage.

What information must be reported on form adv?

Form ADV requires reporting information such as the advisor's business name, address, ownership structure, types of services offered, fees, disciplinary history, and details about the advisor's personnel, including education and background.