Verify an advisor

Before hiring a financial advisor, check their regulatory record. All of the data on this site comes from the sources below — you can verify anything we show.

SEC IARD / Adviser Info

The official SEC database of all registered investment advisers. Contains Form ADV filings, registration status, compensation methods, AUM, client counts, and disclosure events.

Search SEC Adviser InfoSearch by firm name or CRD number

FINRA BrokerCheck

FINRA maintains detailed records on brokers and firms, including employment history, certifications, regulatory actions, customer complaints, and arbitrations. Covers both broker-dealers and investment advisers.

Search FINRA BrokerCheckSearch by name, firm, or CRD

SEC EDGAR Form ADV Search

Access the full text of any adviser's Form ADV filing, including Part 2 brochures that contain fee schedules, investment strategies, conflicts of interest, and business practices in narrative form.

Search SEC EDGARSearch by company name

What to check before hiring an advisor

  1. Registration status — Are they currently registered with the SEC or your state? An unregistered advisor is illegal.
  2. Compensation model — Fee-only means they earn only from client fees. Fee-based means they also earn commissions. This distinction matters enormously.
  3. Disciplinary history — Check for criminal charges, regulatory sanctions, civil judgments, or customer complaints. One disclosure is not necessarily disqualifying, but patterns are.
  4. Conflicts of interest — Do they sell insurance? Are they affiliated with a broker-dealer? Do they use proprietary funds? These create incentives that may not align with your interests.
  5. Fee schedule — Request the Form ADV Part 2 brochure and read the fee section. Ask for a written estimate of total annual cost on your specific portfolio size.
  6. Account minimum — Many advisors require $250K–$1M+. If your portfolio is smaller, look for advisors who specialize in younger or accumulating clients.