According to the Securities and Exchange Commission: ( http://www.sec.gov/answers/formadv.htm )
Form ADV is the uniform form used by investment advisers 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 adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. Part 1 is organized in a check-the-box, fill-in-the-blank format. The SEC reviews the information from this part of the form to process registrations and manage its regulatory and examination programs.
Beginning in 2011, Part 2 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 advisers provide to their clients.
Aldebaran Financial, Inc. manages over $300 million dollars and thus is required to register directly with the Securities and Exchange Commission. You can find Part 1 of our ADV at this link http://www.adviserinfo.sec.gov/(S(ma5requi10snttorfihxu3nq))/IAPD/Content/Search/iapd_Search.aspx .
Select Investment Adviser Firm and input our name at the prompt.
To view our ADV Part 2 just click this link to read it: click here
Due to the complex nature of the Form ADV if you have any questions related to any statement or answer please do not hesitate to get in touch with us for clarification.