Form ADV & Client Relationship Summary
Required regulatory disclosures about our services, fees, and obligations
As a registered investment advisor, PointOak Retirement Advisors, LLC is required to provide certain regulatory disclosures to clients and prospective clients. These documents describe our services, fees, obligations, conflicts of interest, and other important information you should know before engaging our services.
The documents below are available for download. If you have any questions about the information contained in these disclosures, please contact us directly.
Form ADV Part 2A - Firm Brochure
Required disclosure document for all registered investment advisors
Form ADV Part 2A is the firm's disclosure brochure. This document provides detailed information about PointOak Retirement Advisors, LLC, including:
- Types of advisory services offered
- Fee schedules and compensation structures
- Disciplinary information and legal disclosures
- Conflicts of interest and how we address them
- Investment strategies and risk factors
- Client obligations and our fiduciary responsibilities
Form ADV Part 2B - Brochure Supplement
Individual advisor disclosure for supervised persons
Form ADV Part 2B provides information about the individual advisors who will be working with you. This supplement includes:
- Educational background and business experience
- Professional designations and certifications
- Disciplinary information, if any
- Other business activities and potential conflicts
- Additional compensation arrangements
Form CRS - Client Relationship Summary
Plain-language summary of our client relationship
Form CRS (Client Relationship Summary) is a brief, plain-language summary designed to help you understand:
- The types of client relationships and services we offer
- The fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services
- Whether we or our financial professionals have reportable legal or disciplinary history
- How to get additional information about us
Request Printed Copies
If you would like to receive printed copies of any of these documents, or if you have questions about the information they contain, please contact us:
Additional Resources
You can also find additional information about PointOak Retirement Advisors, LLC and our advisors through the SEC's Investment Adviser Public Disclosure (IAPD) website at adviserinfo.sec.gov.
For more information about our services, please visit our Important Disclosures page.
Investment advisory services offered through PointOak Retirement Advisors, LLC. This site is published for residents of the United States only. PointOak Retirement Advisors, LLC does not provide tax or legal advice.