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 ...

On October 26, 2023, the Division of Investment Management of the US Securities and Exchange Commission (the “Division” and the “SEC” or “Commission,” respectively) updated the “Frequently Asked ...

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 ...

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 ...

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 ...

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.

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 ...

Form ADV: It’s Like a Background Check for Your Financial Adviser Investors curious about how their financial professional operates (including fees and any possible conflicts of interest) just need to ...