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This document is an investment adviser registration form filed by WESTEND CAPITAL MANAGEMENT, LLC. It includes identifying information, business operations, regulatory compliance, and details about the advisory firm’s clients and compensation arrangements. The form is intended to ensure that the adviser meets regulatory requirements and operates transparently in the financial market.
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What is form adv?
Form ADV is a regulatory form used by investment advisors to register with the SEC and state regulators, providing important information about the advisor’s business practices.
Who is required to file form adv?
Investment advisers that manage a specified amount of assets or offer advice to clients are required to file Form ADV as part of their registration process.
How to fill out form adv?
To fill out Form ADV, advisers must provide detailed information about their business, ownership, clients, and investment strategies using both Part 1 and Part 2 of the form.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency to clients and regulators about the advisor's qualifications, services, fees, and potential conflicts of interest.
What information must be reported on form adv?
Form ADV requires information such as the advisor's business structure, qualifications, history, types of clients served, fees, and any disciplinary history.
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