Below are some frequently asked financial services questions. If you don’t see your question listed below, feel free to reach out to us.
Advisors use the Form ADV to register as an investment advisor with the Securities and Exchange Commission (SEC). This is a legal document that ensures we are Registered Investment Advisors (RIAs). The Form ADV has three parts. Part 1 contains information about the advisor’s business, ownership, affiliations, employees, etc.
Part 2A requires investment advisors to prepare narrative brochures that contain information such as the types of advisory services offered, the advisor’s fee schedule, conflicts the advisor may have, disciplinary history etc. and is the primary disclosure document that is provided to clients. You can view Parts 1, 2 and 3 on the SEC’s website. Our ADV Part 2B of the Form ADV part 2A “brochure supplement” provides information about our advisory personnel and is also available upon request.
Form ADV Part 3 (also known as FORM CRS) is a relationship summary disclosure form (“CRS” stands for customer or client relationship summary). Form CRS is designed to help retail investors better understand the nature of the relationship and what services they can expect from a financial firm and its individual professionals. You can view our Form CRS here.
Before you hire someone to be your investment advisor, always ask for, and carefully read, all parts of the advisor’s Form ADV. Our advisors are happy to discuss any questions you may have.
If you would like to receive our Form ADV Part 2A in hard copy, please contact us.
StrategicPoint offers two online reporting methods for our clients. The StrategicPoint Client Portal provides daily reports on your accounts. Here, you can access performance reports, portfolio appraisals, realized gains and losses, and more daily.
We also offer access to your monthly statements, portfolio holdings, account activity, tax statements and trade confirmations, direct from Fidelity, through our Client Login page. You are also able to enable paperless delivery of your documents here.
For access to either of our Client Portals, please contact your advisor.
Most 1099 statements are mailed to clients by the end of February. Fidelity mails these documents directly to you; however, you are able to access these documents online via the Fidelity Login as soon as they are made available. Your realized gain/loss report will be mailed separately, and both documents can be used in preparing your taxes.
In 2006 we joined Focus Financial Partners – a partnership of independent wealth management firms. Focus provides firms with strategic support to help us and our clients achieve their financial objectives by:
- Sharing of best practices among industry experts
- Providing education and development for employees
- Delivering access to resources, along with operational and technological efficiencies
- Offering support for future growth initiatives
Being a part of Focus Financial Partners extends our resources and strengthens our capabilities, giving StrategicPoint even greater ability to help you achieve your financial goals. To learn more about Focus Financial Partners, click here.