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This document is the Form ADV, which is used for the registration of investment advisers with the SEC. It provides identifying information about the adviser, including business names, contact details, information on compliance officers, and descriptions of advisory services. It also includes regulatory information about affiliated entities, assets under management, and disclosures regarding disciplinary history or private fund reporting.
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What is form adv?
Form ADV is a mandatory filing required by the Securities and Exchange Commission (SEC) for investment advisers to register and disclose information about their business practices, services, and fees.
Who is required to file form adv?
Investment advisers who manage a certain amount of assets under management or provide services to clients are required to file Form ADV.
How to fill out form adv?
Form ADV can be filled out online through the Investment Adviser Registration Depository (IARD) system. Advisers must provide detailed information about their business, ownership, clients, and employees.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency to clients and regulators about an investment adviser's qualifications, business practices, and potential conflicts of interest.
What information must be reported on form adv?
Form ADV requires advisers to report information such as their business structure, ownership, services offered, compensation, and any disciplinary history.
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