Connecticut Form ADV (Part 2 only)

State:
Connecticut
Control #:
CT-ADV-2
Format:
PDF
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Description

Form ADV (Part 2 only) Connecticut Form ADV (Part 2 only) is a disclosure document that investment advisers registered with the Connecticut Securities and Exchange Commission (CSEC) must submit. It provides investors with information about an investment adviser’s qualifications and business practices, including its services, fees, and any conflicts of interest. The form consists of two parts, Part 1 and Part 2. Part 1 is a brochure that contains basic information about the adviser’s business, while Part 2 is a detailed form that covers more specific information. Part 2 of the Connecticut Form ADV is divided into five sections. Section 1 contains information concerning the adviser’s business activities, including its clients, services, and fees. Section 2 provides information about the adviser’s personnel, including their qualifications and disciplinary history. Section 3 contains information about the adviser’s business operations, such as its books and records, custody of client assets, and compliance procedures. Section 4 contains information about the adviser’s financial condition and business practices, such as its compensation arrangements and conflicts of interest. Finally, Section 5 contains information about the adviser’s regulatory history. There are two types of Connecticut Form ADV (Part 2 only): the Form ADV-W, used by advisers who are withdrawing from registration, and the Form ADV-E, used by advisers who are applying for registration.

Connecticut Form ADV (Part 2 only) is a disclosure document that investment advisers registered with the Connecticut Securities and Exchange Commission (CSEC) must submit. It provides investors with information about an investment adviser’s qualifications and business practices, including its services, fees, and any conflicts of interest. The form consists of two parts, Part 1 and Part 2. Part 1 is a brochure that contains basic information about the adviser’s business, while Part 2 is a detailed form that covers more specific information. Part 2 of the Connecticut Form ADV is divided into five sections. Section 1 contains information concerning the adviser’s business activities, including its clients, services, and fees. Section 2 provides information about the adviser’s personnel, including their qualifications and disciplinary history. Section 3 contains information about the adviser’s business operations, such as its books and records, custody of client assets, and compliance procedures. Section 4 contains information about the adviser’s financial condition and business practices, such as its compensation arrangements and conflicts of interest. Finally, Section 5 contains information about the adviser’s regulatory history. There are two types of Connecticut Form ADV (Part 2 only): the Form ADV-W, used by advisers who are withdrawing from registration, and the Form ADV-E, used by advisers who are applying for registration.

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Connecticut Form ADV (Part 2 only)