New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration is a registration form used by investment advisers in the state of New York to register with the State of New York Department of Financial Services (NY DFS). This form is required for any investment adviser who wishes to conduct business within New York State, and must be completed and submitted to the NY DFS in order for the adviser to be able to provide services. The form consists of three parts: Part 1A, Part 1B, and Part 2A. Part 1A is the main part of the form and provides information to the NY DFS about the investment adviser, including the type of business, the principal place of business, and the names and contact information of the individuals who will be managing the adviser’s activities. It also contains questions about the adviser’s compliance procedures and practices, as well as information about the adviser’s clients and services provided. Part 1B of the form is used to provide additional information about the investment adviser, including information about the adviser’s financial condition, business activities, and ownership structure. Part 2A is an additional form that is used to provide information about the adviser’s clients, including the types of clients served, the services provided to clients, and the adviser’s fee structure. The New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration is an important document for investment advisers in the state of New York and must be completed and submitted to the NY DFS in order for the adviser to be able to provide services.
New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration
Description
How to fill out New York Form ADV- Part 1A Uniform Application For Investment Adviser Registration?
Coping with official paperwork requires attention, precision, and using well-drafted templates. US Legal Forms has been helping people across the country do just that for 25 years, so when you pick your New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration template from our service, you can be certain it meets federal and state laws.
Dealing with our service is easy and quick. To get the necessary paperwork, all you’ll need is an account with a valid subscription. Here’s a brief guide for you to get your New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration within minutes:
- Remember to carefully look through the form content and its correspondence with general and law requirements by previewing it or reading its description.
- Look for an alternative official blank if the previously opened one doesn’t suit your situation or state regulations (the tab for that is on the top page corner).
- ​Log in to your account and download the New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration in the format you need. If it’s your first time with our service, click Buy now to continue.
- Register for an account, select your subscription plan, and pay with your credit card or PayPal account.
- Choose in what format you want to obtain your form and click Download. Print the blank or upload it to a professional PDF editor to submit it paper-free.
All documents are created for multi-usage, like the New York Form ADV- Part 1A Uniform Application for Investment Adviser Registration you see on this page. If you need them one more time, you can fill them out without re-payment - simply open the My Forms tab in your profile and complete your document any time you need it. Try US Legal Forms and accomplish your business and personal paperwork rapidly and in total legal compliance!