Washington Form ADV-H is a form issued by the Washington State Department of Financial Institutions, which is used by investment advisers to register and report information about their business. It contains information about the adviser's business, such as its name, address, and contact information, as well as its services, fees, and any disciplinary actions taken against it. There are two types of Washington Form ADV-H: Washington Form ADV-H1, which is used to register with the Department of Financial Institutions, and Washington Form ADV-H2, which is used to report changes or updates to the Department. Both forms must be updated and filed annually.
Washington Form ADV-H
State:
Washington
Control #:
WA-SKU-1538
Format:
PDF
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Form ADV-H
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FAQ
The ADV Part 2A contains eighteen (18) disclosure items, each to be included in the investment adviser's Brochure. Each disclosure item is to receive a narrative, plain English response.
Adv. is a written abbreviation for adverb. Collins COBUILD Advanced Learner's Dictionary. Copyright © HarperCollins Publishers.
Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC's Investment Adviser Public Disclosure (IAPD) website.
Form ADV contains five parts: ? Part 1A asks a number of questions about you, your business practices, the persons who. own and control you, and the persons who provide investment advice on your behalf. o All advisers registering with the SEC or any of the state securities authorities must complete Part 1A.
What Is SEC Form ADV Part 2A and 2B? Part 2 of SEC Form ADV serves as a brochure for the firm. It provides disclosures about key information about the company, including its business practices, fees, conflicts of interest, and any discipline that it faced in the past.
Anyone who provides investment services to their clients is expected to file SEC Form ADV. This includes investment firms or individual advisers. It serves as a registration form with the Securities and Exchange Commission and it must also be filed with one or more state securities authorities.
Specifically, new Item 5. L will require advisers to disclose whether their advertisements include performance results, specific investment advice, testimonials, endorsements, third-party ratings, and (in a change from the proposed rule) hypothetical performance and predecessor performance.
The twelve covered asset categories are: exchange-traded equity securities; non-exchange-traded equity securities; US government/agency bonds; US state and local bonds; sovereign bonds (as defined in the Form); investment-grade corporate bonds; non-investment grade corporate bonds; derivatives; securities issued by