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Important Terms & Documents 

 

CFP® and CERTIFIED FINANCIAL PLANNERTM - are certification marks owned by the Certified Financial Planner Board of Standard, Inc.  These marks are awarded to individuals who successfully complete the CFP Board's initial and ongoing certification requirements
 
Registered Investment Adviser ( RIA) - A person or firm who, for compensation, engages in the business of advising others as to the value of securities or the advisability of purchasing or selling securities. RIAs are required to register with the Securities and Exchange Commission.
 
Form ADV - The uniform form for use by investment advisors to register and update registrations with the Securities and Exchange Commission and the jurisdictions that require advisors to register. The form is also used to comply with SEC Rule 206(4)-4, which obligates investment advisors to disclose relevant financial and disciplinary information to clients.
 
Chartered Financial Analyst (CFA) - A financial analyst who has been awarded the CFA charter from the Association of Investment Management and Research (AIMR).

Click here for a copy of the ADV, Part 2