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 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.
