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Form ADV |
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Form ADV. All investment advisory firms must register by filing a Form ADV either with the Securities and Exchange Commission if they manage $25 million or more in client assets or with the state securities regulator in the state where they principally work. The form is divided into two sections. Part 1 provides information about past disciplinary actions, if any, against the adviser. Part 2 summarizes the adviser's background, investment strategies, services, and fees. If an advisory firm is registered with the SEC, you can obtain copies of Form ADV at the SEC's Investment Adviser Public Disclosure (IAPD) website (www.adviserinfo.sec.gov). Otherwise, you can request it directly from the adviser or your state securities regulator. You can find contact information on the website of the North American Securities Administrators Association (www.nasaa.org). How to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content. |
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| This question is for registered investment advisors who must file Form ADV to register with the SEC or their state. Only then do you ask to see the adviser's Form ADV Part II, a disclosure document required by the Securities and Exchange Commission and available to all investors that provides such information as a business history and sanctions by regulators. To obtain Women and Company's Form ADV, contact Women and Company at 800-930-2544, option 1. |
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