Under the Investment Advisors Act of 1940, registered investment advisors are held to a fiduciary standard of care. By law, we must ensure that each investment recommendation we make is based on your best interest. We must file a Form ADV with the Securities and Exchange Commission that describes exactly how we do business and how we are compensated.
In addition, we must file a brochure and brochure supplement that outlines our services, fees, background, and strategies in addition to information on the specific advisor within our firm providing financial advice. For your own peace of mind, always ask for, and carefully read both parts of Form ADV when considering the services of an investment advisor. You can find a copy of an investment advisor’s most recent Form ADV on the SEC’s Investment Advisor Public Disclosure website at www.advisorinfo.sec.gov.
