Part 2 of Form ADV sets out the minimum required disclosure that your brochure (Part 2A for a firm brochure, or Appendix 1 for a wrap fee program brochure) and brochure supplements (Part 2B) must contain.

2016年6月24日 · Part 2B of Form ADV is called the “brochure supplement.” An investment adviser must give a client a brochure supplement for each individual that it supervises who: (1) formulates investment advice for that client and has direct client contact; or (2) makes discretionary investment decisions for that client’s assets, even if the supervised ...

2021年4月16日 · Form ADV Part 2B is a brochure supplement that must contain disclosures for supervised persons consisting of 6-7 disclosure categories.

2022年7月14日 · Form ADV serves as a registration document that must be submitted to the SEC and to state securities authorities. Filers must include identifying information and information about assets under...

Part 2B requires advisers to create brochure supplements containing information about certain supervised persons. The requirements in Part 2B apply to all investment advisers registered with or applying for registration with the SEC, but do not apply to exempt reporting advisers.

Q: My firm includes two investment advisers. On our Form ADV, Adviser A is the "filing adviser" and reports on Form ADV the other adviser (Adviser B) as a "relying adviser." My firm would now like to reflect that Adviser B will become the filing adviser, and Adviser A …

2024年7月19日 · J.P. Morgan Securities LLC . Advisory Program . Strategic Investment Services Program . File No. 801-3702 . Brochure Supplement . July 19, 2024 . 2- Mr. J. Daniel Roberts