Consumer Disclosure Forms

The financial advisory field is highly regulated, and full disclosure of an advisor’s background, sources of compensation, and methods of practice is a standard requirement. Advisors provide regulatory disclosure material in the standard government consumer disclosure “Form ADV-Part II”, and/or in the brochure-type material prepared by the advisor.
Download our Form ADV Part II A and B.

Privacy Policy

Financial advisors must also provide consumers with a notice of the Firm’s privacy policies, practices and procedures.
Download our Privacy Policy.

Financial Planner Interview

A form, created by the National Association of Personal Financial Advisors (NAPFA) to assist consumers in selecting a Personal Financial Planner. Click here to view the form, completed by TFP.