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SEC ADV Form
All investment advisers are required to register their business, either directly with the U.S. Securities and Exchange Commission (SEC) or indirectly through their state's financial regulatory body. Registration involves the completion and filing of the SEC's Uniform Application for Investment Advisor Registration, or Form ADV.
Form ADV contains a variety of information about a registered investment adviser (RIA) and his or her business practices, services, and fees that can be useful to clients or prospective clients:
Dennis Roubal, CFP®, RIA, owner and principal of Financial Growth Concepts (FGC), SEC File No. is 801-61817, is in full compliance with the federal filing requirements imposed upon financial advisory firms by the US Securities and Exchange Commission (SEC) and the Michigan Office of Financial and Insurance Regulation.*
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