2007 July 31 | Wheatworks Blog: Financial Matters

Archive for 31st July 2007

SEC Helps You Check Up on Your Financial Advisers

7/31/2007, 4:47 pm

The Investment Adviser Public Disclosure website is a service of the US Securities and Exchange Commission which no investor should overlook.

Using the SEC’s Investment Adviser Public Disclosure website you can search for information about investment adviser firms and their key personnel. Investment advisers must file a Form ADV to register with the SEC. This Form ADV provides some fairly detailed information about an investment adviser and its business operations. Form ADVs also contain disclosures about some of the disciplinary events which involve the adviser and key staff.

If you have a relationship with an investment adviser, you’ll want to visit the Investment Adviser Public Disclosure website and check up on the people who manage your money.

Share This Post ...