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This document serves as the uniform application for investment adviser registration and includes information on the primary business entity, SARATOGA REALTY INVESTORS LLC. It covers sections such as identifying information, SEC registration, financial details, organizational structure, and private fund reporting, ensuring compliance with applicable securities regulations.
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What is form adv?
Form ADV is a regulatory document used by investment advisers to register with the SEC or state regulators. It provides information about the adviser's business, services, and fees.
Who is required to file form adv?
Investment advisers who manage a certain amount of assets or those who provide advice on securities are required to file Form ADV.
How to fill out form adv?
Form ADV is filled out by providing detailed information about the advisory firm, including ownership, clients, business practices, and disclosures. This can be done electronically via the IARD system.
What is the purpose of form adv?
The purpose of Form ADV is to provide transparency about an investment adviser's business practices and to protect investors by allowing them to assess the qualifications and services of advisers.
What information must be reported on form adv?
Form ADV requires information such as the adviser's name, address, ownership, types of services offered, fees, disciplinary history, and employee information.
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