Legal & Regulatory
Form ADV Part 1. Provides information about business, ownership, clients (non-personal information), employees, business practices, and affiliations.
Form ADV Part 2A & 2B (Firm Brochure & Supplement). Provides information about the firm’s qualifications and business practices.
Form ADV Part 3 (Customer Relationship Summary). Briefly summarizes services and advice provided, fees, legal obligations, conflicts of interest, and how advisors are compensated.