Capivise Start Matching

Check the advisor before you say yes.

Capivise encourages users to review registration status, compensation, conflicts, disciplinary history, and fit before engaging any financial professional.

Advisor and client reviewing planning questions together

Registration and role

  • Ask whether the professional is acting as an investment adviser representative, broker, insurance producer, solicitor, financial planner, or another role.
  • Use public databases such as SEC IAPD, FINRA BrokerCheck, Investor.gov, and state insurance resources where applicable.
  • Ask what entity you would actually be engaging and whether the person is acting in a fiduciary capacity for the advice you are seeking.

Compensation and conflicts

  • Ask how the advisor is paid, whether any referral fee exists, whether products pay commissions, and what conflicts could affect recommendations.
  • Ask for Form ADV, CRS, disclosure documents, fee schedules, and any solicitor or referral disclosure where relevant.

Specialty fit

  • Ask how many similar major financial events the advisor has handled.
  • Ask who coordinates with the CPA or attorney and what happens if the best answer is to wait.
  • Ask where the advisor is not a fit, because a precise no is often more useful than a vague yes.

Want to compare options first?

Start with the situation, then use this guide before any engagement.

Start Matching