Get the free Form Adv

This document serves as the primary filing for investment advisers seeking registration with the SEC, providing essential information about the adviser, including their business name, contact details, and regulatory compliance commitments. Specifically, it details the firm PENINSULA ASSET MANAGEMENT INC, its CRD Number, principal office location, number of employees, client advisory services, and various compliance information as required by the regulations governing investment advisers.

How to fill out form adv

How to fill out form adv

1. Start by downloading the Form ADV from the official SEC website or your state's regulatory authority.
2. Read the instructions carefully to understand the sections that need to be filled out.
3. Provide your full legal name, the name of your firm, and your address.
4. Indicate your firm's legal structure (e.g., sole proprietorship, partnership, corporation).
5. Fill out the information regarding your business operations and services offered.
6. Include details about your firm’s ownership, control, and management.
7. Disclose any disciplinary history for yourself and your firm.
8. Review the sections regarding client accounts and assets under management.
9. Make sure to check for any additional state-specific requirements.
10. Finally, sign and date the form before submitting it to the appropriate regulatory authority.

Who needs form adv?

1. Investment advisers who are required to register with the SEC or state regulators.
2. Financial professionals offering advice on securities and investment strategies.
3. Firms seeking to provide investment advisory services to clients.

For pdfFiller’s FAQs

How do I make changes in form adv?

pdfFiller not only lets you change the content of your files, but you can also change the number and order of pages. Upload your form adv to the editor and make any changes in a few clicks. The editor lets you black out, type, and erase text in PDFs. You can also add images, sticky notes, and text boxes, as well as many other things.

How can I edit form adv on a smartphone?

The best way to make changes to documents on a mobile device is to use pdfFiller's apps for iOS and Android. You may get them from the Apple Store and Google Play. Learn more about the apps here. To start editing form adv, you need to install and log in to the app.

Can I edit form adv on an iOS device?

Use the pdfFiller mobile app to create, edit, and share form adv from your iOS device. Install it from the Apple Store in seconds. You can benefit from a free trial and choose a subscription that suits your needs.

What is form adv?

Form ADV is a legal document that investment advisers in the United States must file with the Securities and Exchange Commission (SEC) and state regulators. It provides information about the adviser’s business, ownership, clients, and any disciplinary history.

Who is required to file form adv?

Investment advisers who are required to register with the SEC or state regulators must file Form ADV. This includes both firms and individuals providing investment advice or managing client assets.

How to fill out form adv?

To fill out Form ADV, investment advisers must provide detailed information about their business structure, the services they offer, assets under management, compensation, and any disciplinary information. The form consists of two parts: Part 1 requires specific information about the adviser, while Part 2 requires a narrative brochure intended for clients.

What is the purpose of form adv?

The purpose of Form ADV is to provide transparency and regulatory oversight of investment advisers in order to protect investors. It serves to disclose material information that allows clients to make informed decisions about whether to use an investment adviser.

What information must be reported on form adv?

Form ADV requires information such as the adviser's business name, address, ownership structure, types of services provided, fee arrangements, investment strategies, disciplinary history, and assets under management.