Background Check

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.

SEC website: https://www.adviserinfo.sec.gov/

Click HERE for the most recent filing of Wiser’s ADV Part I and the Wiser ADV Brochure. Follow the steps below.

Company Check

Select Investment Advisor Firm, Wiser’s CRD # is 125282

Advisor Check

To view a Wiser Wealth Management advisor’s background, select “IAR” and type one of the following CRD numbers into the search box:

Casey T Smith’s CRD # is 4141592

James C Wilbur’s CRD # is 5468850

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