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The Securities Exchange Commission regulates investment advisers, primarily under the Investment Advisers Act of 1940.

Under Rule 204-3 under the Advisers Act, commonly referred to as the "brochure rule," a Registered Investment Adviser is required to deliver to each prospective client a written disclosure statement or "brochure," describing the adviser's business practices and educational and business background. This brochure must must delivered 1) at least forty-eight hours before entering into any written or oral contract with a client, or 2) at the time of entering into the contract with a client if the contract permits the client to terminate the contract without penalty within five business days after entering into it. We are also required to deliver a brochure to existing clients, on an annual basis, without charge.

Advisers are not required to deliver a brochure to clients for whom they provide only impersonal services for less than $200. An adviser entering to a contract for impersonal advisory services for $200 or more need only offer to deliver a brochure.

Each independent Fee-Only Financial Adviser may be required to have their own Form ADV. You should ask for a copy of the Form ADV before engaging any professional.

A copy of our Registered Investment Adviser Statement is available on our web site. Your use of this web site is an acknowledgement that you have received it.  If you still have difficulty reading it, please send send an e-mail to us at Legal@The-Adviser.com. 

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