form adv part 2
Disclosure Brochure - ADV Part 2 is part of the uniform form used by investment advisers to register with both the SEC and state securities authorities. The SEC 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:
FORM ADV PART 3
Customer Relationship Summary - Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Advisers Act are required to provide retail investors a relationship summary disclosing certain information about the firm:
CCM’s Customer Relationship Summary