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Practical steps for finding, checking, and hiring a registered investment adviser.
These answers focus on actions you can take: search by zip, read Form ADV item codes on a firm profile, and verify the same CRD on official IAPD records. Best Investors republishes public SEC feeds. It is not the SEC and not legal advice.
For filing field definitions, use the Form ADV guide. For tool choice (IAPD, BrokerCheck, matching services), use Compare directories.
Find nearby RIAs on Best Investors Search by zip, read Form ADV and Form CRS on the firm page, then verify each CRD on SEC IAPD before you hire.
Search Best Investors by name, note the CRD on the profile, then verify the same CRD on SEC IAPD. Use BrokerCheck if the person is also a broker.
Form ADV is the registration filing U.S. investment advisers file with the SEC or a state. Learn Part 1A, the brochure, Form CRS, and how to read them here.
Fee-only usually means client fees only. Fee-based often allows commissions too. Verify with Form ADV Item 5E, the brochure, and a written question.
Ask about fiduciary duty, fees, conflicts, custody, who does the work, Item 11, and minimums. Pre-read Form ADV on Best Investors, then email this list.
Clarify needs, shortlist nearby RIAs on Best Investors, read Form ADV, interview 2 to 3, verify CRD on IAPD, then sign knowing fees.
Item 11 Yes means a disclosure box was checked, not automatic guilt. Read the DRP details, then verify the same CRD on SEC IAPD.
Find and vet a fiduciary for a 401(k) rollover. Compare stay-in-plan vs IRA, ask fee and conflict questions, then verify RIAs on Best Investors and IAPD.
Ready to look at nearby firms? Open Search and enter a zip or city. Pro listings ($9.99/month) can sort first. Treat that as advertising, not a quality score.