Investment advisors are required to use Form ADV to register as a Registered Investment Advisor (RIA) with either the Securities and Exchange Commission (SEC) or the state in which they operate. Seaton Financial Advisors,LLC is registered (licensed) with the state of Florida as an RIA. The Florida agency that regulates RIAs is the Office of Financial Regulation, 200 East Gaines Street, Tallahassee, 32399 ("850-410-9843"). Their website is Florida Office of Financial Regulation.
Form ADV has two parts:
Form ADV Part I contains information about the advisor's education, business and disciplinary history. The document is in Q&A format and can be viewed at the SEC's Investment Adviser Public Disclosure website. To access Part I for Seaton Financial Advisors, click the SEC website link (http://sec.gov), point to the "Education" tab at the top of the page and on the dropdown menu click "Check Out a Broker of Adviser". Scroll down the new page and click the link titled "Investment Adviser Public Disclosure (IAPD)". A new screen will appear, in the left hand column click "Investment Adviser Search", click "Firm" and then type in "134586" in the block labelled IARD/CRD Number and then click "go". When the search results appear on a new screen, click "Investment Adviser Firm" and then click "Florida".
Form ADV Part II (also called the "brochure") contains information about the advisor's credentials and business policies and procedures including services offered, fees and investment strategies. Investment advisors are required to keep this form current and to furnish it to potential clients and new clients prior to performing any services or entering into any contracts for services. To view this document please click here.