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This document is a Form ADV, which serves as the application for investment adviser registration and a report by exempt reporting advisers. It includes identifying information, business details, regulatory compliance, and operational information for LASSUS WHERLEY & ASSOCIATES, INC., an investment advisory firm. The document outlines the firm\'s registration with the SEC, business structure, and client management details.
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What is form adv?
Form ADV is a document that investment advisers use to register with the Securities and Exchange Commission (SEC) and state regulators. It includes information about the adviser's business, services, and fees.
Who is required to file form adv?
Investment advisers who manage assets above a certain threshold and wish to operate legally must file Form ADV.
How to fill out form adv?
To fill out Form ADV, advisers must provide detailed information about their business practices, investment strategies, fees, and any disciplinary history. The form can be completed online via the Investment Adviser Registration Depository (IARD).
What is the purpose of form adv?
The purpose of Form ADV is to ensure transparency in the investment advisory industry by providing regulatory authorities and clients with essential information about an adviser’s background and business practices.
What information must be reported on form adv?
Form ADV requires information such as an adviser's name, address, business structure, ownership, services offered, fee schedule, and any legal or disciplinary events.
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