Cambridge Investment Research Advisors
Tim Hayes AWMA®, CRPS®, AIF®, CFS® Boston & Dartmouth, MA
Documents for Investment Advisor Clients: ADV Parts 1 & 2 must be provided to you before you become an investment advisor client. Please take the time to download and review.
Investment Advisor Clients
- ADV Part 1 – Part 1 requires information about the investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees.
- ADV Part 2- Part 2 requires investment advisers to prepare narrative brochures written in plain English that contain information:
- such as the types of advisory services offered
- the adviser’s fee schedule
- disciplinary information, conflicts of interest, and the educational and business background of management and key advisory personnel of the adviser.