The ADV: The Why, What, When and How of the ADV

Description:
This will be an hour-long program presented by Lori Neidel via a webinar for both new, and experienced, registered investment advisers on the Form ADV, and their responsibilities surrounding it. The program will educate the adviser on the ADV-Item by Item, and the disclosures to be made therein. In particular to the Part 2B Brochure, the program will encompass the adviser’s fiduciary duty to disclose conflicts of interest. Examples of disclosures for each Item of Part 2A will be More...available to the advisers. The program will also touch upon the adviser’s regulatory obligation as to filing the ADV’s annual updating amendment and the offer to be made to clients.

Learning Objectives:

1.) Educate new and seasoned advisers on the ADV and their regulatory responsibilities surrounding it;

2.) Provide the adviser with useful information and materials-template for drafting an ADV

3.) Help better prepare the adviser for filing their annual updating amendment

CE Credit:
NAPFA – 1 CE – Marketing and Practice Management
CFP – 1 CE - Professional Conduct & Fiduciary Responsibility
NASBA – 1 CPE – Administrative Practice

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