Jeff  Sprowles and Associates, LLC
Fee Only Financial Planner and Investment Advisor

Fee Only Financial Planners and Investment Advisors

ADV, Part 2


What is the Form ADV?

-From the Securities and Exchange Website-

Advisers use Form ADV to register as an investment adviser with the SEC.    Form ADV also is used for state registration.    Generally, an investment adviser that manages $25 million or more in client assets must register with the SEC.    Advisers that manage less than $25 million must register with the state securities regulator where the adviser's principal place of business is located.

Form ADV has two parts.    Part 1 contains information about the adviser's education, business and disciplinary history within the last ten years.    Part 1 is filed electronically with the SEC.    Part 2 includes information on an adviser's services, fees, and investment strategies.

An adviser's Form ADV Part 1 can be found on the Investment Adviser Public Disclosure (IAPD) website.    Your investment adviser must furnish you with a copy of Part 2 of Form ADV.




Click on the link below to view

Jeff Sprowles and Associates, LLC ADV Part 2



 








                                                   



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