Forms

 

Ward & Associates Fee Schedule 

We firmly believe that our clients should know exactly how we are being compensated.  Please see our Fee Schedule.  

Regulatory Compliance Information

As a matter of "best practices", we believe it is in the best interest of all parties that we include regulatory information about our firm and this website. Please click on the following links to access this information.

  • Disclosure - Regulatory and Disclosure information for Ward & Associates and Wardinvest.com.
  • Privacy Notice - Notice requirements and restrictions about our ability to disclose nonpublic personal information about our clients.
  • SEC Form ADV Part I - Form ADV Part I is the Uniform Application for Investment Advisor Registration with the U.S. Securities and Exchange Commission.  Form ADV Part I contains identifying information about our advisory business including form of organization, assets under management, control persons and/or owners, disciplinary and other required disclosures.  This link takes you directly to the Investment Advisor Public Disclosure page on the SEC’s website.  Simply input our firm’s name and you will then be directed to our SEC registration.
  • SEC Form ADV Part 2A & 2B - Comprehensive disclosure outlining our services, staff and compensation.  The U.S. Securities and Exchange Commission requires that every investment advisor provide this form to clients.

            

 

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