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Seastrunk Financial Management, LLC and Fidelity Investments are independent companies and are not affiliated. There is no form of legal partnership, agency, affiliation or similar relationship between your financial advisor and Fidelity Investments, nor is such a relationship created or implied by the information herein.

 

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.

Why Use BrokerCheck?

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

 

Form ADV is a document that Registered Investment Advisers (RIAs) are required to file with either their state or with the SEC. It’s broken down into two parts.

 

ADV Part I includes:

 

  • Identifying information about the firm,
  • How many clients they have,
  • Total amount of assets they manage,
  • Whether or not they’re a broker-dealer or a registered representative of a broker-dealer (That is, are they paid commission to recommend certain investments?), and
  • A whole list of other (less interesting) tidbits.

 

ADV Part II includes (among other things):

 

  • What type of services they offer,
  • How they charge their clients (hourly fees, percentage of assets under management, fixed fees, commissions, etc.),
  • What type of analysis they perform when selecting securities for a client, and
  • The RIA’s education and career background.
  • Finding an Advisor’s Form ADV

 

There are two ways to get a copy of an RIA’s Form ADV:

 

  1. Ask for it –they’re required to give it to you.

 

If you look it up online, you can search by name of the firm or by name of the advisor.