When searching for investment advisors, Form ADV is the ultimate source of information. Here’s how to get the most use out of ...

The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment ...

On September 5, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five investment advisers for violating Rule 206(4)-2 (the ...

There are a lot of things as a financial advisor you don’t want to get wrong, and Form ADV—the registration document advisors submit to the Securities and Exchange Commission and state securities ...

Many investors spend too much time on an advisory firm’s website and not enough time on the disclosures that actually explain ...

Additional information RIAs must now disclose on the Form ADV may help the SEC develop an automated system to single out firms for examination. Registered investment advisers (RIAs) will need to share ...

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 ...

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 ...

Filing false Form ADV data can trigger SEC enforcement, penalties, and restrictions—even without investor losses. Legal and ...

Choosing the right financial advisor isn’t just about performance — it’s about trust, transparency, and alignment with your goals. Understanding whether your advisor is a fiduciary, how they’re ...