Regulatory Information:

Form ADV: Please email research@nextgeninvest.net for a copy of our Form ADV

What is the form ADV?

• The Securities and Exchange Commission (SEC) requires all professional investment advisers to submit SEC. Form ADV, also known as the Uniform Application for Investment ADVisor.

• Both the United States Securities and Exchange Commission (SEC) and the state securities regulators require use of the Form ADV as an investment advisor registration document.

The form ADV has main 2 parts for clients:

• Part 2A provides information about the investment adviser’s business, ownership, clients,

  employees, business practices, affiliations, and any disciplinary events of the adviser or its

  employees. It also includes disclosures of the adviser’s business practices, fees, conflicts of interest,

  and disciplinary information.

• Part 2B provides information about specific individuals on behalf of the investment advisory who actually provide the investment advice and interact with the client.