Compliance

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Important Compliance Information

Trust and transparency are important when it comes to giving someone the responsibility of handling your finances. We are registered with both the Securities and Exchange Commission (SEC). Below, you can find links to information on the various aspects of Sculati Wealth Management and information regarding our advisors.


Form ADV Part 1

Every year, we review and update our Form ADV, which is the form used by investment advisors to register with both the Securities and Exchange Commission (SEC). This outlines every aspect of our business.

 

The Sculati Wealth Management Form ADV can be found here.

 

Sculati Wealth Management – CRD#: 158783/SEC#: 801-112320

Form ADV Part 2

In addition to Part 1, each year we review and update our Form ADV Part 2. This document differentiates from Part 1 as it contains a more thorough narrative that explains all of the various business aspects of Sculati Wealth Management and information regarding Sculati Wealth Management’s advisors. The Form ADV Part 2 can be found here.

Registered Investment Advisor

The primary agenda of the Registered Investment Advisor (RIA) is to offer advice that’s best for you. It’s one of the key reasons they went independent — to have greater freedom in order to better serve you. “RIA” means we are registered with the U.S. Securities and Exchange Commission. The government does not approve advisors or their qualifications.