Get the free Wrap Fee Program Brochure - Summit Brokerage
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Item1CoverPage SummitFinancialGroup, Inc. FormADVPart2A,Appendix1 WrapFeeProgramBrochure 595SouthFederalHighway Suite500 Boca Raton,FL33432 Toll-free:(800)2262660 Fax:(561)3382820 www.summitbrokerage.com
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How to fill out wrap fee program brochure
How to fill out a wrap fee program brochure:
01
Begin by gathering all the necessary information about the wrap fee program. This may include details about the investment strategy, fees and expenses, performance history, and other relevant information.
02
Make sure to carefully review any regulations or guidelines provided by the regulatory authorities, such as the Securities and Exchange Commission (SEC), to ensure compliance.
03
Start with the cover page of the brochure, which should prominently display the name of the wrap fee program, the name and contact information of the firm offering the program, and any required disclosures or disclaimers.
04
Move on to the table of contents, which should provide a clear outline of the brochure's contents, making it easy for investors to find the information they are looking for.
05
In the introduction section, provide a brief overview of the wrap fee program, including important details such as its purpose, benefits, and potential risks.
06
When discussing the specific services offered, provide a detailed description of the investment strategies, the types of securities that may be included in the portfolio, and any limitations or restrictions that apply.
07
Include a section on fees and expenses, clearly outlining the management fees, transaction costs, and any other charges associated with the wrap fee program. This information should be presented in a transparent and easy-to-understand manner.
08
Address the performance history of the wrap fee program, including any relevant benchmarks, and highlight any notable achievements or awards. If applicable, provide information on how to obtain more detailed performance data.
09
Ensure that the brochure includes a clear and concise explanation of the risks involved in investing in the wrap fee program. This may include market risks, risks specific to the investment strategy, or any other potential risks that investors should be aware of.
10
Finally, include any required disclosures, legal disclaimers, or important information that investors should be aware of before investing in the wrap fee program.
Who needs a wrap fee program brochure:
01
Financial advisors and investment firms offering wrap fee programs.
02
Clients who are considering investing in a wrap fee program or are already invested in one.
03
Regulatory authorities, such as the SEC, who may require firms to provide a brochure to clients as part of their compliance obligations.
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What is wrap fee program brochure?
The wrap fee program brochure is a document that provides information about investment advisory services and fees charged in a wrap fee program.
Who is required to file wrap fee program brochure?
Registered investment advisers are required to file the wrap fee program brochure with the Securities and Exchange Commission (SEC) or state securities regulators.
How to fill out wrap fee program brochure?
The wrap fee program brochure must be filled out accurately with information on investment advisory services, fees, conflicts of interest, and other relevant information.
What is the purpose of wrap fee program brochure?
The purpose of the wrap fee program brochure is to provide transparency to clients about the services provided, fees charged, and potential conflicts of interest in the wrap fee program.
What information must be reported on wrap fee program brochure?
The wrap fee program brochure must include information on the advisory services provided, fees charged, disciplinary history, conflicts of interest, and other relevant information.
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