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Item 1 Cover Page UNIONBANCINVESTMENTSERVICESLLC 800 N. BrandBoulevard,16thFloor, Glendale,CA91203 (800)6341100 unionbank.com/invest PersonalPortfolioSolutions WrapFeeProgramBrochure March27,2015

How to fill out form adv part 2

How to fill out Form ADV Part 2?

1. Gather all necessary information: Before starting to fill out Form ADV Part 2, make sure you have all the required information handy. This may include details about your investment advisory business, such as your firm's name, address, and contact information, as well as information about your clients and the services you provide.
2. Complete Section 1: The first section of Form ADV Part 2 is about your firm's identification information. Fill in the required details accurately, including your firm's name, address, phone number, email address, and website (if applicable).
3. Provide details about your firm: In Section 2, you will need to provide information about your firm's ownership structure, any affiliations, and the types of services you offer. Be sure to provide accurate and up-to-date information to ensure compliance.
4. Describe your firm's business: Section 3 requires you to describe the nature of your firm's business, the types of clients you serve, and the investment strategies you employ. Provide clear and concise information about your investment philosophy and the key factors that differentiate your firm from others.
5. Disclose any potential conflicts of interest: In Section 4, you must disclose any conflicts of interest that may exist within your firm. This includes any relationships with other entities, compensation arrangements, or personal trading activities that may present conflicts with your clients' interests. Be transparent and provide sufficient detail to ensure compliance with regulatory requirements.
6. Provide information about your fees and compensation: Section 5 focuses on your firm's fee structure and how you are compensated. Provide a clear breakdown of your fee schedule, including any additional costs or expenses that clients may incur. Ensure that your fee structure aligns with industry standards and is consistent with the services you provide.
7. Discuss your disciplinary history: In Section 6, you will need to disclose any disciplinary events or legal proceedings involving your firm or its personnel. This includes any regulatory sanctions, criminal charges, or civil lawsuits. Provide accurate and complete information to demonstrate transparency and compliance.
8. Review and update regularly: It is essential to review and update your Form ADV Part 2 on an ongoing basis. This ensures that the information remains current and accurately reflects your firm's operations. Make revisions and amendments promptly whenever there are material changes to your business or if any information provided becomes outdated.

Who needs Form ADV Part 2?

1. Registered Investment Advisers (RIAs): Any investment adviser registered with the Securities and Exchange Commission (SEC) or a state securities regulator needs to file Form ADV Part 2. This form serves as a disclosure document that provides essential information about the adviser's business practices, fees, disciplinary history, and other relevant details.
2. Clients and potential investors: Form ADV Part 2 acts as a critical source of information for clients and potential investors to evaluate and understand an investment adviser's background and services. It helps them make informed decisions about whether to engage the services of the adviser and assess any potential conflicts of interest.
3. Regulators and compliance authorities: Form ADV Part 2 is a regulatory requirement that helps regulators and compliance authorities monitor and evaluate investment advisers. By reviewing this form, they can assess the adviser's compliance with relevant regulations, identify potential risks, and take any necessary enforcement actions if violations are identified.

In conclusion, filling out Form ADV Part 2 requires attention to detail and accuracy. Gathering the necessary information, providing comprehensive descriptions of your firm's business practices, disclosing conflicts of interest, and regularly reviewing and updating the form are crucial steps to ensure compliance and maintain transparency with clients, potential investors, and regulatory authorities.

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What is form adv part 2?

Form ADV Part 2 is a document filed with the U.S. Securities and Exchange Commission (SEC) by investment advisers.

Who is required to file form adv part 2?

Investment advisers registered with the SEC are required to file Form ADV Part 2.

How to fill out form adv part 2?

Form ADV Part 2 can be filled out electronically on the Investment Adviser Registration Depository (IARD) system.

What is the purpose of form adv part 2?

The purpose of Form ADV Part 2 is to provide clients with important information about the investment adviser.

What information must be reported on form adv part 2?

Form ADV Part 2 requires information about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history.