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PART 2A FORM ADV Dated as of March 26, 2015, BASALLY INVESTMENT MANAGEMENT, INC. 200 E. RANDOLPH DRIVE CHICAGO, ILLINOIS 60601 +1 (312) 7825800 www.lasalle.com This brochure provides information about

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How to fill out part 2a form adv

How to fill out part 2a form adv:

01

Start by entering the name of your firm and its CRD number at the top of the form. The CRD number is a unique identifier assigned by the SEC or your state regulator.

02

Provide the effective date of the form, which is the date you plan to start using it.

03

Fill in your firm's contact information, including its address, phone number, and website. This is important for clients and regulators to reach out to you.

04

Specify the names and titles of the individuals responsible for managing your firm's advisory activities. Include their background information, such as education and business experience.

05

Indicate any other business activities your firm engages in, such as broker-dealer services or supervision of pooled investment vehicles.

06

Describe your firm's ownership structure, including any affiliated entities or individuals that have control over your operations.

07

Detail any disciplinary events or legal proceedings involving your firm or its employees within the past ten years.

08

Provide information on your firm's advisory services, including the types of clients you serve and the strategies employed. This may include investment objectives, asset allocation, and fees charged.

09

Disclose any material conflicts of interest that could affect your ability to provide unbiased advice to clients. This includes compensation arrangements and relationships with related parties.

10

Finally, sign and date the form to certify that the information provided is accurate and complete.

Who needs part 2a form adv:

01

Registered investment advisory firms are required to fill out part 2a form adv. These firms offer financial advice or consultation services to clients for a fee.

02

In the United States, the Securities and Exchange Commission (SEC) or state securities regulators oversee investment advisory activities. Therefore, firms operating at the federal or state level must complete this form.

03

Part 2a form adv is essential for providing important information to clients about a firm's advisory services, investment strategies, fees, and potential conflicts of interest. This helps clients make informed decisions about working with the firm.

04

Additionally, the form allows regulators to monitor and regulate the activities of investment advisors to protect investors and maintain market integrity. It ensures transparency and promotes compliance with applicable laws and regulations.

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What is part 2a form adv?

Part 2a form adv is a form filed with the Securities and Exchange Commission (SEC) by investment advisers.

Who is required to file part 2a form adv?

Investment advisers registered with the SEC are required to file part 2a form adv.

How to fill out part 2a form adv?

Part 2a form adv can be filled out electronically through the Investment Adviser Registration Depository (IARD) system.

What is the purpose of part 2a form adv?

The purpose of part 2a form adv is to provide clients and potential clients with important information about the investment adviser.

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

Part 2a form adv must include information about the investment adviser's business practices, fees, conflicts of interest, and disciplinary history.

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