Alex and Ryan continue to discuss McLean’s ADV Part 2. It is the SEC-mandated document that an advisor provides to prospects and to existing clients at least once a year. The ADV Part 2 serves as your user manual for working with your advisor. We use McLean’s ADV to serve as a baseline for these episodes. In this episode, we discuss:
- The types of clients your advisor serves (and whether you fit in).
- How to analyze the advisor’s stated method of analysis, investment strategy, and potential for loss.
- How to assess if your advisor has had previous securities violations and disciplinary actions.
- The listing of areas where potential conflicts of interest may exist and to what degree.
Listen now to learn more!
Links
Click here to watch this video on YouTube: https://youtu.be/r3YWFCFF8n8?si=qVSo4m2-uztee0mN
To download McLean’s ADV Part 2, click here: https://www.mcleanam.com/adv2a
You can reach our guest Ryan Walters by visiting: https://rialawyers.com/
Join the waitlist for our next round of the Retirement Income Challenge at risaprofile.com/podcast
If you are an individual consumer and would like to be directed to our sister firm McLean Asset Management you can get in touch at: https://www.mcleanam.com/start/
This episode is sponsored by Retirement Researcher https://retirementresearcher.com/. Download their free eBook, 8 Tips to Becoming A Retirement Income Investor at retirementresearcher.com/8tips
