Savings and Investments

Financial Planners and Investment Advisors

Why is a Form ADV important?

The Securities and Exchange Commission’s Form ADV is required by all licensed investment advisers who manage more than $25 million. Anyone who manages less than that must register with the state securities regulator. Part one of the form lists the adviser’s education, business, and disciplinary history for the past ten years. Part two lists information pertaining to the adviser’s fees and investment strategies.


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