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This form serves as an application for investment adviser registration and report by exempt reporting advisers. It includes identifying information about Pender Capital Management, LLC and specifies adherence to regulatory requirements, including the requirement to file updates and maintain accurate records.
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How to fill out form adv
How to fill out form adv
01
Start by downloading the Form ADV from the appropriate regulatory website.
02
Read the instructions carefully to ensure compliance with regulations.
03
Fill in the business information in Section 1, including the firm name and address.
04
Provide details about the principal owners and key personnel in Section 2.
05
Complete Section 3 with information about the advisory services offered.
06
Disclose any potential conflicts of interest in Section 4.
07
Sign and date the form at the end to certify that the information provided is accurate.
08
Submit the completed Form ADV to the SEC or appropriate state regulatory body.
Who needs form adv?
01
Investment advisors who manage client assets.
02
Financial professionals who offer advice on securities.
03
Firms looking to register with the SEC or state authorities.
04
Businesses seeking to comply with regulatory requirements.
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What is form adv?
Form ADV is a form used by investment advisers to register with the SEC (Securities and Exchange Commission) and state regulators. It provides information about the adviser's business, ownership, clients, and employees.
Who is required to file form adv?
Investment advisers who manage a certain amount of assets under management or who provide advice to clients about securities must file Form ADV.
How to fill out form adv?
Form ADV must be filled out online through the Investment Adviser Registration Depository (IARD) system. Advisers provide various details about their business, including ownership, services, fees, and any disciplinary history.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency in the investment advisory industry, allowing clients and potential clients to understand who they are dealing with and the services offered.
What information must be reported on form adv?
Form ADV requires information about the adviser's business structure, ownership, operations, types of advisory services offered, fees, and any legal or disciplinary events.
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