The Securities and Exchange Commission (SEC) requires that all registered investment advisors (RIAs) file a “Form ADV – Part 2,” now known as the “Disclosure Brochure.” This document discloses to clients and prospective clients important information about the firm. This document complies with the SEC’s new rules approved in July 2010 and effective April 1, 2011. The new rules state that the Form ADV should be written in “plain English,” among other requirements about what should be contained in the document.
“Stewardship is caring about the hopes and goals of our clients…and working smart and hard, year after year, to achieve them.”
Vic Esclamado, Chief Operating Officer
