What Do You Really Know About Your Investment Adviser? Investor Claims Is What We Do - All Day, Every Day

What Do You Really Know About Your Investment Adviser?

When you trust someone with your investments, you are taking a big step. You are believing that this person or company has the right experience and background to handle your investment portfolio. But what do you really know about your investment adviser?

First, let's define an investment adviser. The U.S. Securities and Exchange Commission (SEC) defines them as "an individual or a firm that is in the business of giving advice about securities to clients." The SEC gives the example of an individual or firm that receives "compensation for giving advice on investing in stocks, bonds, mutual funds, or exchange traded funds."

Below are some things you need to know about your investment adviser:

  1. How is your investment adviser paid?
    It is important that you understand how the adviser is compensated. For example, is he or she paid a percentage of the assets that are managed or will you be charged a fixed fee?

  2. Is your investment adviser registered with the SEC?
    Not every investment adviser has to register with the SEC. However, if he or she manages at least $25 million in client assets, the registration requirement will apply.

  3. Have there been previous problems with regulators or clients?
    When you entrust your money with someone, you need to be aware of any past problems with clients or regulators. You can check out this information by obtaining copies of the Form ADV, which is filed with the SEC or state securities agency. You can also use FINRA's BrokerCheck to look into the background of the investment adviser.

  4. Does your investment adviser have the right experience to manage your portfolio?
    This question is one that you should have answered before investing your money. You want to ensure that your investment adviser has the experience in helping clients who have similar situations to your own.

By doing your research, you can reduce your chances of becoming a victim of investment fraud.

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  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America® for over Ten Years Running
  • David Meyer is President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members

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Helping You Take Back What Is Yours
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

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