Advisor Background Check

What is a Form ADV?

Form ADV is similar to a background check for Advisors. It is a required submission to the Securities and Exchange Commission (SEC) or the state they are registered in. This is where the Investment Advisor specifies their investment style, assets under management (AUM), key officers of the firm,etc.. The form must be updated annually and available as public record for companies managing assets for a fee. Also, if any past disciplinary actions or fines have been taken against the Advisor, this must be noted on the 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 it’s Form ADV available for viewing at anytime by following the link below to SEC’s website.

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

Click HERE for the most recent filing of Wiser’s ADV Part I and here for our Wiser ADV Part II 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

If you have any other questions related to our ADV, please contact Casey at casey@wiserinvestor.com.

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