Form ADV is the disclosure document that registered investment advisors must provide to the SEC and clients. It includes key information about the advisor's business practices, investing strategies, fee structure and disciplinary history.

Are Form ADV filings publicly available?

Form ADV filings are publicly available on the SEC's Investment Adviser Public Disclosure (IAPD) website .

After using Form ADV, how else can you research financial advisors online?

Beyond Form ADV, you can also research a financial advisor through your state securities regulator. You can find your state regulator’s contact information on the North American Securities Administration website . In addition, FINRA offers an online broker research tool called BrokerCheck , where you can review a broker’s background.

Coryanne Hicks

Expertise: Investing, personal finance, retirement planning
Education: University of California, San Diego

Coryanne Hicks is an investing and personal finance writer and ghostwriter whose work appears in U.S. News & World Report, Kiplinger, Forbes Advisor and Business Insider, among other publications. Hicks has ghostwritten white papers and financial guidebooks for dozens of industry professionals and even a memoir. Her U.S. News video

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