ADV Part II
Form ADV is a required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management (AUM) and key officers of the firm. ADV Part II acts as a disclosure document for clients of the business and includes information, such as services provided, fees levied, and whether the investment advisor acts as a broker-dealer and transacts securities.
Form CRS
Form CRS provides retail investors with simple, easy-to-understand information about the nature of their relationship with their financial professional, in order to help them compare services between firms and make more informed decisions.
