Agreement to Provide Financial Planning Advisory Services

 Agreement to Provide Financial Planning Advisory Services
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State:
Multi-State
Control #:
US-01943BG
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Available formats: Word

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Description

The main function of a financial advisor is to evaluate the economic performance of certain companies and industries for business firms and other organizations that have the money to make valuable investments.

Other tasks financial advisors have include:

" Compiling data for financial reports
" Analyzing social and economic data
" Examining market conditions
" Working with detailed financial records
" Creating statistical diagrams and charts
" Advising clients on financial matters
" Making investment presentations

Advisers use Form ADV to register as an investment adviser with the SEC. Form ADV also is used for state registration. Generally, an investment adviser that manages $25 million or more in client assets must register with the SEC. Advisers that manage less than $25 million must register with the state securities regulator where the adviser's principal place of business is located.

Form ADV has two parts. Part 1 contains information about the adviser's education, business and disciplinary history within the last ten years. Part 1 is filed electronically with the SEC. Part 2 includes information on an adviser's services, fees, and investment strategies. Currently, the SEC does not require advisers to file Part 2 electronically.

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