Utah Form ADV-W

State:
Utah
Control #:
UT-SKU-0034
Format:
PDF
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Description

Form ADV-W
Utah Form ADV-W is a form used by state-registered investment advisers for the registration of their investment advisory business with the Utah Division of Securities. It is also used to update the investment adviser's registration information. There are two types of Utah Form ADV-W: Part 1 is the initial registration form and Part 2 is the amendment form. The form requires the investment adviser to provide detailed information about their business, including the names of the investment adviser and its officers, the type of services provided, the fees charged, and the states in which the investment adviser is registered. Additionally, the form requires the disclosure of any disciplinary actions taken against the investment adviser, as well as any conflicts of interest that may exist in the operation of the business.

Utah Form ADV-W is a form used by state-registered investment advisers for the registration of their investment advisory business with the Utah Division of Securities. It is also used to update the investment adviser's registration information. There are two types of Utah Form ADV-W: Part 1 is the initial registration form and Part 2 is the amendment form. The form requires the investment adviser to provide detailed information about their business, including the names of the investment adviser and its officers, the type of services provided, the fees charged, and the states in which the investment adviser is registered. Additionally, the form requires the disclosure of any disciplinary actions taken against the investment adviser, as well as any conflicts of interest that may exist in the operation of the business.

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FAQ

Form PF is kept confidential by the SEC and FSOC, and Form PF filings are not available to the public. Currently, private equity fund advisers file Form PF annually, while large hedge fund advisers and large liquidity fund advisers file quarterly.

Form ADV-W is used by Investment Adviser firms to terminate registration with the SEC and/or states and jurisdictions. Exempt Reporting Advisers (ERA) should reference the Form ADV Quick Reference Guide for information on how to withdraw (i.e., submit a Final filing).

Part 2 requires investment advisers to prepare narrative brochures that include plain English disclosures of the adviser's business practices, fees, conflicts of interest, and disciplinary information. The brochure is the primary disclosure document for investment advisers and must be delivered to advisory clients.

OVERVIEW. Form PF is a US Securities and Exchange Commission regulatory filing requirement that mandates private fund advisers report regulatory assets under management to the Financial Stability Oversight Council, in order to monitor risks to the US financial system.

2 A private fund identification number is a unique identification number for each fund. Advisers must obtain an identification number for each private fund by logging onto the Investment Adviser Registration Depository (IARD) Web site and using the private fund identification number generator.

Private funds are not required to be registered or regulated as investment companies under the federal securities laws. A private fund cannot publicly offer its securities.

Form ADV is officially called the Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Adviser. Any investment advisor that manages more than $25 million must submit this registration document to the U.S. Securities and Exchange Commission and to state securities authorities.

What are the fees associated with filing Form PF? Filing fees are charged by FINRA to use the IARD system. The filing fees for SEC-registered investment advisers filing Form PF using the IARD system are $150 for each annual report and $150 for each quarterly report. Where can I find more information on Form PF?

More info

You do not need to complete Items 1E through 8 of Form ADV-W. Q: Which items in Form ADV must Exempt Reporting Advisers complete?Filing Form ADV-W is mandatory for an investment adviser to withdraw from registration. If you are filing for full withdrawal, you must complete the entire Full Form ADV-W. SEC Form ADV-W is used to withdraw registration as a registered investment adviser (RIA) with the Securities and Exchange Commission (SEC). You must file Form ADV-W (17 CFR 279. You do not need to complete Items 1E through 8 of Form ADVW. How do I file my Form ADV? Complete Form ADV electronically using the Investment Adviser Registration Depository. 2 Form ADV-W, notice of withdrawal from registration as investment adviser.

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Utah Form ADV-W