Get the free Form ADV Part 2A: Firm Brochure December 18, 2012 CWMA ...

Form ADV Part 2A: Firm Brochure December 18, 2012, COMA Nevada, LLC d.b.a Retirement Depot 2660 Crimson Canyon Dr., Suite 170 Las Vegas, Nevada 89128 Telephone: (702) 233-9126 Fax: (702) 233-2497 http://www.myretirementdepot.com This

How to fill out form adv part 2a

How to fill out form adv part 2a:

1. Start by providing general information about your firm, including its name, address, contact information, and the date of the fiscal year-end.
2. Indicate whether your firm has any affiliates or is affiliated with other entities, and provide details about those relationships.
3. Disclose any disciplinary history or legal actions against your firm or its key personnel, including any regulatory proceedings, criminal convictions, or customer complaints.
4. Describe the types of advisory services your firm provides, including investment strategies, client types, and any minimum account requirements.
5. Provide information on your firm's employees, including their roles, responsibilities, and qualifications, as well as any material changes to your workforce.
6. Disclose any potential conflicts of interest that may arise from your firm's business practices or affiliations, and describe the steps taken to mitigate or manage these conflicts.
7. Outline your fee structure and any other compensation arrangements, including whether you receive performance-based fees or have financial incentives to recommend specific investment products.
8. Detail any custody arrangements you have in place for client assets, including the name of your custodian and any related fees or expenses.
9. Explain how your firm handles client complaints and disputes, including any steps taken to resolve conflicts or participate in arbitration.
10. Finally, sign and date the form, and retain a copy for your records.

Who needs form adv part 2a?

1. Registered investment advisers (RIAs) are required by the Securities and Exchange Commission (SEC) to file Form ADV Part 2A.
2. The form is necessary for firms offering investment advisory services and seeking to register with the SEC or maintain their existing registration.
3. It provides essential information about the adviser's business, services, fee structure, conflicts of interest, disciplinary history, and other key details.
4. This information helps regulators, clients, and prospective clients make informed decisions about engaging with the adviser.

For pdfFiller’s FAQs

What is form adv part 2a?

Form ADV Part 2A is a document that registered investment advisers must file with the SEC to provide information about the adviser's business practices, conflicts of interest, and disciplinary history.

Who is required to file form adv part 2a?

Registered investment advisers are required to file Form ADV Part 2A with the SEC.

How to fill out form adv part 2a?

Form ADV Part 2A can be filled out online through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about the investment adviser, including services offered, fees charged, and conflicts of interest.

What information must be reported on form adv part 2a?

Information that must be reported on Form ADV Part 2A includes the adviser's business practices, disciplinary history, fees charged, and conflicts of interest.

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