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.








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Seastrunk Financial

121 S Cashua Dr.

Florence, SC 29501