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Investment Advisers since 1942 1. Cover Page SEC FORM ADV PART 2A: FIRM BROCHURE FEBRUARY 2015 Stewart and Pattern Co., LLC 1 Post Street, Suite 850 San Francisco, CA 94104 4154214932 www.stewartandpatten.com

How to fill out form adv part 2

How to fill out Form ADV Part 2:

1. Gather all necessary information: Before beginning the form, make sure you have all the relevant information on hand. This may include details about your company, its affiliates, employees, and the types of services you offer.
2. Start with identifying information: Begin by providing the required identifying information about your firm, such as its name, address, and contact details. This section is essential as it helps regulators and clients identify your firm accurately.
3. Disclose your firm's business: In this section, provide detailed information about your firm's business practices, including the types of services you offer, the types of clients you cater to, and any investment strategies employed.
4. Discuss any potential conflicts of interest: It is crucial to disclose any conflicts of interest that may arise in your business operations. This could include situations where your firm stands to benefit from certain transactions or situations that might impair your ability to act in your clients' best interests.
5. Provide information about your employees: This section requires you to disclose information about your firm's employees, such as their backgrounds, qualifications, and any disciplinary actions taken against them, if applicable. It is essential to accurately represent the skills and expertise of your team members.
6. Describe your fee structure: In this part, outline how you charge fees and how they are calculated. Be transparent about any additional charges or expenses clients might incur.
7. Explain any disciplinary history: If your firm or any of its employees have faced disciplinary actions or regulatory sanctions in the past, provide details in this section. Be honest and provide explanations where necessary.
8. Finalize and submit the form: Once you have completed all the required sections, review the form for accuracy and completeness. Make sure all necessary attachments are included. Then, sign and submit the form as per the instructions provided by the relevant regulatory authority.

Who needs Form ADV Part 2?

1. Registered Investment Advisers (RIAs): RIAs are required by the U.S. Securities and Exchange Commission (SEC) or state securities authorities to file Form ADV, which includes Part 2. This form helps regulators and clients understand important information about the firm's practices and services.
2. Asset managers and wealth advisors: If your business involves managing assets or providing financial advice to clients, you likely fall into the category of those who need to file Form ADV Part 2. This requirement ensures transparency and helps protect investors' interests.
3. Financial services companies: Firms operating in the financial services industry, such as hedge funds, private equity firms, and venture capital companies, may also be required to file Form ADV Part 2. The form provides crucial information about these companies' investment strategies and potential conflicts of interest.

Overall, anyone operating an investment advisory business or providing financial services to clients should determine if they need to file Form ADV Part 2 based on the regulatory requirements applicable to their jurisdiction and the nature of their operations.

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What is form adv part 2?

Form ADV Part 2 is a document that provides information about an investment advisor and is filed with the Securities and Exchange Commission (SEC).

Who is required to file form adv part 2?

Investment advisors who meet certain criteria, such as managing assets over a certain threshold, are required to file Form ADV Part 2.

How to fill out form adv part 2?

Form ADV Part 2 is typically filled out electronically through 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 and potential clients with information about an investment advisor's business practices, conflicts of interest, and other key information.

What information must be reported on form adv part 2?

Form ADV Part 2 requires information about an investment advisor's services, fees, conflicts of interest, and disciplinary history.