What Is the SEC Form ADV and Why Must Investors Know About It?
![Financial concept financial risk](https://mdf-law.com/wp-content/uploads/2021/11/due-diligence-inspection-investigation-check-balance-fiber-conceptual-history-details-steps-law_t20_eANGR7-1024x683.jpg)
When investment advisors register with the Securities Exchange Commission (SEC) and/or with their state securities authority, they need to fill in what is called a Form ADV. A Form ADV has three major parts: Part 1: General business info plus any info on past disciplinary actions Part 2: Service offerings, assets under management (AUM), investment […]