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Swisher Financial Concepts, Inc. 612A Office Parkway Westerville, Ohio 43082 Phone: 6148901930 Fax: 6148901981 Website: www.swisherfinancial.com May 22, 2012, FORM ADV PART 2A. BROCHURE This brochure

How to fill out form adv part 2a

How to fill out Form ADV Part 2A:

1. Gather all the necessary information: Before you start filling out the form, make sure you have all the required information at hand. This may include details about your firm's services, fees, disciplinary history, and key personnel.
2. Begin with the basic information: Start by providing your firm's name, address, and contact information. You may also need to include your firm's CRD number, SEC registration number, and other identifying details.
3. Describe your firm's business: Next, you need to provide a detailed description of your firm's business, including the types of clients you serve, the services you offer, and any specialized investment strategies you employ. Make sure to be thorough and accurate in your descriptions.
4. Disclose any disciplinary history: If your firm or any of its key personnel have a disciplinary history, you need to disclose this information in the form. Be transparent and provide all the necessary details regarding any legal or regulatory actions, violations, or conflicts of interest.
5. Outline your fees and compensation: Provide a breakdown of the fees and compensation your firm charges for its services. Be clear about the structure of your fees, whether it is based on a percentage of assets under management, a flat fee, or any other arrangement. Include any additional expenses or services for which clients may be responsible.
6. Detail your firm's investment strategies and risks: Discuss the investment strategies your firm uses and outline any associated risks. Be transparent about how you manage these risks and the potential impact they may have on client portfolios.
7. Provide information on key personnel: Include details about your firm's key personnel, including their names, titles, and contact information. You may also need to disclose their background, qualifications, and any other relevant information.
8. Review and submit the form: Once you have completed all the sections of the Form ADV Part 2A, thoroughly review the information for accuracy and completeness. Ensure that you have answered all the required questions and haven't left any mandatory fields blank. Finally, submit the form electronically through the SEC's Investment Adviser Registration Depository (IARD) system.

Who needs Form ADV Part 2A:

1. Registered Investment Advisers (RIAs): If you are an RIA, you are required to fill out and maintain Form ADV Part 2A. This form serves as a disclosure document that provides important information about your firm's services, fees, potential conflicts of interest, disciplinary history, and other relevant details.
2. Securities and Exchange Commission (SEC) regulations: The SEC has made it mandatory for RIAs to file Form ADV Part 2A as part of their registration process. This requirement ensures that investors and clients have access to key information about an investment adviser before engaging with their services.
3. Potential and current clients: Form ADV Part 2A is an essential document that helps potential and current clients make informed decisions when choosing an investment adviser. It allows them to assess a firm's qualifications, services, fees, and any potential risks. Clients rely on this form to evaluate the suitability of an investment adviser for their specific needs.

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What is form adv part 2a?

Form ADV Part 2A is a disclosure document that provides information about an investment advisor's business practices, conflicts of interest, and background.

Who is required to file form adv part 2a?

Registered investment advisors are required to file Form ADV Part 2A with the Securities and Exchange Commission (SEC) or state securities regulators.

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. It requires detailed information about the advisor's business operations, fees, services, and disciplinary history.

What is the purpose of form adv part 2a?

The purpose of Form ADV Part 2A is to provide clients with important information about an investment advisor's operations and services before entering into a relationship with them.

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

Form ADV Part 2A requires advisors to disclose information about their advisory services, fees, disciplinary history, conflicts of interest, and other key aspects of their business.