Get the free Marathon RPC Form ADV Part 2B - Feb 2015

Form ADV Part 2B: Brochure Supplement Item 1 Cover Page Aaron Speaker Marathon Retirement and Pension Consulting, LLC 4 Walcott Street Natick, MA 07160 508-320-1564 www.MarathonRPC.com Date of Supplement:

How to fill out marathon rpc form adv

How to fill out marathon rpc form adv:

1. Start by carefully reading the instructions provided on the form adv. These instructions will guide you through the process and highlight any specific requirements.
2. Gather all the necessary information and documentation required to complete the form. This may include details about your firm, its ownership structure, services offered, and AUM (assets under management).
3. Begin by filling out the basic information section, which typically includes your firm's name, address, and contact details.
4. Provide details about your firm's ownership, including any individuals or entities that have a direct or indirect control over your firm. This may include shareholders, partners, or principals.
5. Describe your firm's business and the types of services it offers. This section may require you to provide information about your investment strategies, client profile, and any potential conflicts of interest.
6. Disclose your firm's compensation structure and fee schedule. Include details about how your fees are calculated and any additional expenses that clients may incur.
7. Provide information about any disciplinary actions or legal proceedings that have been taken against your firm or its employees. This section may also require you to disclose any regulatory or compliance issues.
8. Complete the section that addresses your firm's financials. This may include information about your assets under management, sources of revenue, and any custody arrangements.
9. Review the completed form for accuracy and completeness. Make sure all the required fields have been filled out and that the information provided is up to date.
10. Sign and date the form to certify its accuracy and completeness.

Who needs marathon rpc form adv:

1. Investment advisers: Marathon rpc form adv is primarily designed for investment advisers who are required to register with the Securities and Exchange Commission (SEC) or state securities authorities.
2. Compliance professionals: Professionals responsible for ensuring regulatory compliance within an investment advisory firm may also need to be familiar with and use the marathon rpc form adv.
3. Regulatory authorities: The information provided in the marathon rpc form adv is used by regulatory authorities to monitor and supervise investment advisers, ensuring their compliance with applicable laws and regulations.

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What is marathon rpc form adv?

Marathon RPC Form ADV is a form filed with the Securities and Exchange Commission (SEC) by investment advisers.

Who is required to file marathon rpc form adv?

Investment advisers registered with the SEC are required to file Marathon RPC Form ADV.

How to fill out marathon rpc form adv?

Marathon RPC Form ADV can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of marathon rpc form adv?

The purpose of Marathon RPC Form ADV is to provide information about the business practices, conflicts of interest, and disciplinary history of investment advisers.

What information must be reported on marathon rpc form adv?

Information such as assets under management, fees charged, services provided, and any potential conflicts of interest must be reported on Marathon RPC Form ADV.