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Form ADV 2A Brochure - Water Oak

Form ADV 2A Brochure - Water Oak 2025

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The Form ADV 2A Brochure for Water Oak Advisors, LLC outlines the firm's qualifications, business practices, and investment advisory services. It details the types of services offered, including investment management and wealth planning, along with fee structures and client asset management. The document emphasizes the firm's fiduciary duty to clients, potential conflicts of interest, and the risks associated with investing. Additionally, it provides information on client account reviews, brokerage practices, and compliance with regulatory requirements.

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What are the ADV part 2 disclosure requirements?

General Instructions for Part 2 of Form ADV Under SEC and similar state rules you are required to deliver to clients and prospective clients a brochure disclosing information about your firm. You also may be required to deliver a brochure supplement disclosing information about one or more of your supervised persons.

What is the difference between ADV part 1 and ADV part 2?

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

What are the ADV part 2B requirements?

See Advisers Act Rule 203- 1. Part 2B requires advisers to create brochure supplements containing information about certain supervised persons. The requirements in Part 2B apply to all investment advisers registered with or applying for registration with the SEC, but do not apply to exempt reporting advisers.

When must delivery of the form ADV part 2A brochure occur?

Each year you must (i) deliver, within 120 days of the end of your fiscal year, to each client a free updated brochure that either includes a summary of material changes or is accompanied by a summary of material changes, or (ii) deliver to each client a summary of material changes that includes an offer to provide a

How do I find a companys form ADV?

All information filed by advisers on Form ADV is available on IAPD, except for certain personal identifying information. The IAPD website is available 24 hours a day, free of charge. Investors can also call the SECs toll-free investor assistance line at (800) 732-0330 for help.

What are the three parts of Adv Part 2?

Part 2 of Form ADV is also divided into two parts: A and B. Part 2A contains instructions for creating plain English narratives to describe the firms offerings, business practices, and disciplinary procedures. Part 2B requests information about any supervised persons working at the firm.

What is a ADV Part 2A brochure?

Form ADV Part 2 has two distinct sections. Part 2A outlines the various disclosures you must include in your brochure. Part 2B is the brochure supplement and contains information about the individuals within a registered investment advisor (RIA) firm (supervised persons) who interact with and advise clients.

What does Form ADV Part 2 disclose?

Form ADV Part 2 covers disclosure requirements for preparing your firm brochure. This brochure, which must be given to each client, includes information about your firms business practices, the fees you charge, conflicts of interest, and past disciplinary actions.

Form ADV 2A Brochure - Water Oak 2025

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