For anyone trying to choose a financial advisor, Form ADV is an essential point of reference. Form ADV is paperwork that all financial advisor firms that manage more than $25 million must file with ...

Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've been incentivized to sell you products that aren't in your best interest?

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update. Created by The Consortium, a company ...

Form ADV is meant to provide investors and regulators a reasonably accurate, up-to-date description of a firm. It doesn’t always work out that way. For many financial advisors, the document remains a ...

On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order 1 that provides relief to registered investment advisers (RIA) and exempt reporting advisers (ERA) that are unable to ...

When it comes to financial advisors filing information with federal regulators, the question is: How much information is too much? Large advisors — many of whom have robust information technology ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

If you haven't encountered the new Form ADV yet, be prepared to make its acquaintance in the next two months. To make sure the meeting doesn't become contentious, some guidance may be in order.

Form ADV Is About to Change -- Are You Ready? An updated form for registering with regulators might seem like a straightforward matter. But advisors who don’t prepare for it could get caught off guard ...