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This document serves as the official application for registration as an investment adviser. It includes identifying information about the adviser, details about the business operations, compliance officer contact information, and information about the firm\'s regulatory assets under management. It also covers various necessary disclosures to ensure the adviser meets regulatory standards.
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What is form adv?
Form ADV is a form that investment advisors are required to file with the Securities and Exchange Commission (SEC) and state regulators. It provides information about the advisor's business, services, and fees.
Who is required to file form adv?
Investment advisers who manage assets for clients and are registered with the SEC or state regulators are required to file Form ADV.
How to fill out form adv?
Form ADV must be completed online through the Investment Adviser Registration Depository (IARD) system. Advisers need to provide details about their business, services, team, fees, and any disciplinary history.
What is the purpose of form adv?
The purpose of Form ADV is to disclose important information to clients and prospective clients about an investment adviser, helping them make informed decisions when selecting an advisor.
What information must be reported on form adv?
Form ADV requires reporting information such as the advisor's business structure, services offered, fees, ownership, custody arrangements, potential conflicts of interest, and any disciplinary history.
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