Disclosures for New Clients & New Accounts

A common question is what disclosures do I need to deliver to clients and when? If you already know Spire's policy for disclosure delivery, you can scroll to the bottom for the attachments to pull Spire's ADV Part II and Spire's Privacy Policy.

Here's a breakdown of the various disclosures:

Advisor ADV Part 2B

If you are an IA of Spire Wealth Management, your advisor ADV Part 2B is provided by Spire Compliance and you are responsible for saving and retaining this file. Your ADV is will be updated by Spire Compliance annually and sent to you during the 1st quarter every year.

If you are an IA of your own RIA, your advisor ADV Part 2B is your responsibility to create and update on an annual basis.

FAQ

When do I need to send my ADV Part 2B to a client?

• All new client relationships opening/linking RIA account to you as an IA of Spire Wealth Management. This includes the custodians Fidelity, Schwab, Pershing Advisor Solutions, or fee based accounts at NFS/Pershing DBS.
  
• All new RIA accounts for existing client relationships.