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FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: LEPERCQ DE NEUFLIZE ASSET MANAGEMENT LLCCRD Number: 120109Annual Amendment

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How to fill out 17 cfr275203a-2 - exemptions

01

Begin by identifying the type of service or advice being offered.

02

Gather necessary documentation regarding your business and services.

03

Review the specific exemptions available under 17 CFR 275.203A-2.

04

Ensure that your services qualify for the exemption by meeting the stipulated criteria.

05

Fill out the required forms with accurate information regarding your business.

06

Submit any additional documentation or proof as required by the regulations.

07

Review and double-check all information before submission to ensure compliance.

08

Keep a copy of your submission for your records.

Who needs 17 cfr275203a-2 - exemptions?

01

Investment advisers seeking to register or operate under a particular exemption.

02

Small investment advisory firms that meet the criteria set forth in the regulation.

03

Advisers who provide services primarily to certain clients, such as private funds or institutional investors.

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What is 17 cfr275203a-2 - exemptions?

17 CFR 275.203A-2 outlines exemptions from the registration requirements under the Investment Advisers Act for certain investment advisers based on their size and client base.

Who is required to file 17 cfr275203a-2 - exemptions?

Investment advisers who meet the criteria for exemption as outlined in 17 CFR 275.203A-2 are required to file for exemptions; typically, this includes advisers managing a certain amount of assets or those providing advice solely to qualifying clients.

How to fill out 17 cfr275203a-2 - exemptions?

To fill out the exemptions under 17 CFR 275.203A-2, advisers must submit Form ADV and indicate their eligibility for the exemption, ensuring that all required information regarding their advisory activities is accurately provided.

What is the purpose of 17 cfr275203a-2 - exemptions?

The purpose of 17 CFR 275.203A-2 exemptions is to reduce the regulatory burden on smaller investment advisers by exempting them from certain registration requirements, thereby allowing them to operate more efficiently.

What information must be reported on 17 cfr275203a-2 - exemptions?

Advisers must report information such as their total assets under management, client demographics, and any relevant disclosures that support their claim for exemption.

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