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FORM ADV DISCLOSURE STATEMENT DESCRIPTION OF SERVICES & FEES Mackenzie & Company, Inc., (Mackenzie & Company) provides personalized confidential financial planning and investment management to individuals,

How to fill out form adv disclosure statement

How to fill out form adv disclosure statement:

1. Gather all necessary information: Before starting to fill out the form, make sure to gather all relevant information regarding your advisory business. This includes details about your firm, its structure, services offered, assets under management, and any disciplinary history.
2. Understand the form's sections: The Form ADV Disclosure Statement is divided into several sections. Familiarize yourself with each section's purpose and requirements to ensure accurate and complete disclosure.
3. Section 1: Provide basic information about your firm, such as its name, address, phone number, and website. Indicate the type of advisory services you offer and the markets you operate in. Mention any affiliations or relationships with other financial firms.
4. Section 2: This section requires you to provide information about your firm's employees, including their names, roles, and if they have any disciplinary history. Provide details about how the firm compensates its employees and any conflicts of interest that may arise.
5. Section 3: If your firm manages private funds, this section requires you to disclose additional information about those funds. This includes the type of fund, its strategies, the number of investors, and the fund's regulatory status.
6. Section 4: Report your firm's assets under management, both regulatory and non-regulatory. Provide information about the types of assets you manage, such as equities, fixed income, or alternative investments.
7. Section 5: Disclose any disciplinary history or legal actions involving your firm or its employees. This includes any past regulatory violations, lawsuits, or customer complaints.
8. Additional exhibits or schedules: Depending on your firm's specific circumstances, you may be required to include additional exhibits or schedules. These could include details about your fee structure, investment strategies, or any performance data.

Who Needs Form ADV Disclosure Statement?

The Form ADV Disclosure Statement is required for all investment advisers who are registered with the Securities and Exchange Commission (SEC) or state securities regulators. It provides crucial information to clients and regulatory authorities about the adviser's business, services, fees, and potential conflicts of interest. Even if not required, it is recommended that registered investment advisers provide this disclosure document to clients, as it promotes transparency and helps clients make informed decisions.

For pdfFiller’s FAQs

What is form adv disclosure statement?

Form ADV disclosure statement is a document that registered investment advisers must provide to clients detailing important information about the adviser's business operations, fees, services, and potential conflicts of interest.

Who is required to file form adv disclosure statement?

Registered investment advisers are required to file Form ADV disclosure statement with the Securities and Exchange Commission (SEC) or their state securities regulator.

How to fill out form adv disclosure statement?

Form ADV disclosure statement can be filled out online through the Investment Adviser Registration Depository (IARD) system. It requires providing detailed information about the adviser's business practices, disciplinary history, and conflicts of interest.

What is the purpose of form adv disclosure statement?

The purpose of Form ADV disclosure statement is to provide clients with transparency regarding the operations and potential conflicts of interest of their investment adviser.

What information must be reported on form adv disclosure statement?

Form ADV disclosure statement must include information about the adviser's business practices, fees, services offered, disciplinary history, and conflicts of interest.

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