The SEC requires that the ADV form be submitted by a professional investment advisor.
Form ADV serves as a filing document that must be filed with the SEC and state securities authorities.
Potential and current clients of an investment advisor should always review the ADV form on file as it provides transparent evidence of the firm’s asset structure as well as the professional experience of key personnel.
A Certified Retirement Planning Consultant is a person who has the status of a professional financial planner awarded by the College of Financial Planning.
An Investment Policy Statement (IPS) is a formal document drawn up by a portfolio manager or financial advisor and a client that sets out the general rules for the manager.
Successful completion of the Series 65 exam qualifies the investment professional to serve as an investment advisor’s representative in certain states.