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This document serves as the application form for investment adviser registration with the SEC, providing comprehensive details about the investment adviser EAGLE ROCK INVESTMENT COMPANY, LLC, its business operations, financial details, and compliance information.
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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 SEC's website.
02
Read the instructions carefully to understand the requirements.
03
Fill out Part 1 of the form, providing general information about your firm, such as name, address, and type of business.
04
Complete Part 2, which includes details about your services, fees, and any disciplinary history.
05
Review the form for accuracy and completeness.
06
Sign and date the form where required, certifying that the information is true.
07
Submit the completed form electronically through the Investment Adviser Registration Depository (IARD) system.
Who needs form adv?
01
Investment advisers who manage client assets or provide financial advice.
02
Individuals or firms looking to register as investment advisers with state or federal regulators.
03
Any entity that needs to disclose its business practices and investment strategies to clients.
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What is form adv?
Form ADV is a regulatory form used by investment advisers to register with the SEC and state regulatory agencies. It provides information about the adviser's business, services, fees, and potential conflicts of interest.
Who is required to file form adv?
Investment advisers, including those providing advice to clients for a fee or managing assets, are required to file Form ADV if they manage more than $25 million in assets or are managing assets for registered investment companies.
How to fill out form adv?
To fill out Form ADV, an investment adviser must provide detailed information about their business structure, ownership, services offered, fees charged, and the background of key personnel. This involves completing 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 in the investment advisory industry by disclosing essential information to clients and regulators, helping them make informed decisions about hiring an adviser.
What information must be reported on form adv?
Form ADV requires reporting information such as the adviser's business name, address, ownership structure, types of services provided, fee schedules, disciplinary history, and the qualifications of key personnel.
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