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. Although designed for a regulatory purpose, investment adviser filings of Part 1 are available to the public on the SEC’s Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov.
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. When filed, the brochures are available to the public on the IAPD website at www.adviserinfo.sec.gov.
33 East Main Street
Madison, WI 53703
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Important Consumer Disclosure
Resonant Capital Advisors, LLC (“RCA”) is an SEC registered investment adviser with its principal place of business in Madison, Wisconsin. RCA and its representatives are in compliance with the current registration and notice filing requirements imposed on SEC registered investment advisers by those states in which RCA maintains clients. RCA may only transact business in those states in which it is registered, notice filed, or qualifies for an exemption or exclusion from registration or notice filing requirements. RCA’s website is limited to the dissemination of general information regarding its investment advisory services to United States residences residing in states where providing such information is not prohibited by applicable law. Accordingly, the publication of RCA’s website should not be construed by any consumer and/or prospective client as RCA’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.
Furthermore, information on this website should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized investment advice from RCA. Any subsequent, direct communication by RCA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of RCA, please contact the United States Securities and Exchange Commission on their website at www.adviserinfo.sec.gov. A copy of RCA’s current written disclosure statement discussing RCA’s business operations, services, and fees is available from RCA upon written request. RCA does not make any representations as to the accuracy, timeliness, suitability, completeness or relevance of any information prepared by any unaffiliated third party, whether linked to on RCA’s website or incorporated herein, and takes no responsibility therefore. All such information is provided for convenience purposes only and all users thereof should be guided accordingly.
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