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This document serves as the Application for Investment Adviser Registration by North Westerly Holdings B.V., detailing its business information, regulatory contacts, private fund management activities, and compliance with the SEC requirements.

How to fill out form adv

How to fill out form adv

1. Gather all necessary information: personal details, employment information, and prior address history.
2. Carefully read the instructions provided with Form ADV.
3. Fill out the identification sections accurately, including your name and business information.
4. Complete the sections regarding investment strategies, types of clients, and the firm's disciplinary history.
5. Provide detailed information on any affiliated services or businesses.
6. Review all entries for accuracy and completeness.
7. Sign and date the form where required.
8. Submit the form electronically or mail it to the appropriate regulatory authority.

Who needs form adv?

1. Investment advisers who manage or recommend investment options for clients.
2. Firms required to register with the SEC or state regulators.
3. Individuals seeking to operate as investment advisers in compliance with legal requirements.

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What is form adv?

Form ADV is a regulatory form used by investment advisers to register with the Securities and Exchange Commission (SEC) and state regulators. It provides detailed information about the adviser's business, ownership, clients, and disciplinary history.

Who is required to file form adv?

Investment advisers who manage assets and offer investment advice to clients are required to file Form ADV. This includes both SEC-registered advisers and those required to register with state regulatory authorities.

How to fill out form adv?

To fill out Form ADV, advisers must provide accurate and complete information regarding their business, services offered, fees, and any disciplinary actions. The form consists of two parts: Part 1 requires information about the adviser's business, while Part 2 is a narrative brochure that explains services and fees to clients.

What is the purpose of form adv?

The purpose of Form ADV is to ensure transparency and provide regulatory authorities and clients with essential information about the investment adviser’s business practices, services, and potential conflicts of interest.

What information must be reported on form adv?

Form ADV requires reporting information such as the adviser's name, contact details, ownership structure, services offered, types of clients, assets under management, fee structures, and any disciplinary history.