Regulatory Information about Farley Financial
What is the Form ADV?
The Form ADV is the uniform form used by investment advisors to register with both the Securities and Exchange Commission (SEC) and state securities authorities. The form consists of two parts. Part 1 requires information about the investment advisor’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. Although designed for a regulatory purpose, investment advisor filings of Part 1 are available to the public on the SEC’s Investment Adviser Public Disclosure (IAPD) website at http://www.adviserinfo.sec.gov
Part 2 of the Form ADV 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. The brochure is the primary disclosure document that investment advisors provide to their clients. Farley Financial provides the document to all new clients and offers the document to all clients at least annually. You can download a copy of our most recent Form ADV Part 2 here: