Researching Adviser Fees Gets Easier

Researching Adviser Fees Gets Easier Splash image

The U.S. Securities and Exchange Commission (SEC) has made it easier for investors to look up and compare financial adviser fees and policies. The Form ADV Part II Brochure now discloses information that advisers previously did not have to include in regulatory filings.

Perhaps the most notable information is the disclosure of fees. Clear information is provided on what the firm charges and what is required for clients to qualify for discounted fees. (Most typically, certain minimum dollar amount thresholds must be exceeded.) Also included is information on investment strategies, research methods, disciplinary actions, and whether the adviser receives commissions.

Though the filings are open to the public, accessing them at the SEC website is not straightforward. These instructions from should get you to them:

...To continue reading this article you must be registered with AAII.

Gain exclusive access to this article and all of the member benefits and investment education AAII offers.
JOIN TODAY for just $29.
Log in
Already registered with AAII? Login to read the rest of this article.

Register for FREE
to read this article and receive access to future articles.


No comments have been added yet. Add your thoughts to the discussion!

You need to log in as a registered AAII user before commenting.
Create an account

Log In