What is a Form ADV?
Form ADV is a required submission to the Securities and Exchange Commission (SEC) or the state registered in by a professional investment advisor that specifies the investment style, assets under management (AUM), and key officers of the firm. The form must be updated annually and available as public record for companies managing assets for a fee. If past disciplinary action has been taken against the advisor, this must be noted in Form ADV.
In some of the recent Ponzi Schemes, prosecutors allege the advisory firms were unregistered. Most advisors will offer a current Form ADV to any potential client early in the marketing process; in fact, investors should be immediately cautious of an advisor that does not freely offer the form upon request. A potential client should also verify that the form ADV has been filed with the SEC.
Wiser Wealth Management, Inc makes its Form ADV available for viewing at anytime by following the link below to SEC’s website.
Click HERE for the Wiser ADV Part I and the Wiser ADV Brochure or the Wiser Wealth advisors background check. Follow the steps below.
Select Investment Advisor Firm, For Firm CRD # type 125282
To view a Wiser Wealth Management’s advisors background select “IAR”, Type one of the following CRD numbers into the CRD search box:
Casey T Smith 4141592
Sonja Gonzalez 5213863
James C Wilbur 5468850
Sign up for Wiser's E Newsletter
Casey Smith was recently interviewed by Jim Beach, the host of School For Startups Radio. Jim’...
In the September 23rd edition of the Atlanta Journal and Constitution Casey Smith was a guest writer...
Casey Smith will be moderating a panel on portfolio allocation at the September 15th Atlanta Family ...
We are excited to announce the addition of Jana Prance to the Wiser team. Jana is a recent graduate ...
Casey’s Wiser Blog article on teaching children about money was chosen by the Marietta Daily J...