Review the offer
Discuss the ownership structure, documents, fees and questions that remain unanswered.
FINANCIAL ADVISOR GUIDANCE
A better conversation starts with the right person.
Find help understanding a pre-IPO offer and how it fits your finances. Research professional backgrounds, compare services, and ask for a clear explanation before committing.
See the whole picture
Consider concentration, cash needs, potential losses and a holding period with no promised exit.
Understand the relationship
Ask who pays the professional, which services are included and whether an independent second opinion would help.
Verify every professional before you engage.
Use official records to confirm current registration in your state and review disclosures in full context. Verify contact details independently, and ask about services, fees and conflicts. A directory listing or registration does not establish suitability for your needs.
WIDEN YOUR SEARCH
Find. Verify. Compare.
Professional directories help you discover people. Regulatory records help you research them.
DISCOVER · FINANCIAL PLANNING
CFP Board
Find CFP® professionals by location and planning needs through Let’s Make a Plan.
Find a CFP® professionalConfirm certification, services and fees directly.DISCOVER · FEE-ONLY ADVICE
NAPFA
Explore its advisor directory by location and client needs, including business owners and high-net-worth households.
Search NAPFA’s directoryDirectory inclusion does not guarantee an outcome.VERIFY · BROKERS
FINRA BrokerCheck
Read registration, employment history and disclosure details for the person and their brokerage firm.
Check a broker’s backgroundMatch the record to the person contacting you.VERIFY · INVESTMENT ADVISERS
SEC & state IAPD
Research investment advisers and review firm disclosures about services, fees and conflicts.
Check adviser recordsRegistration does not mean government endorsement.Third-party marks identify the linked resources. This site is not affiliated with or endorsed by these organizations.
BRING THESE TO YOUR FIRST CALL
Six questions worth asking.
Your role
Will you act as a fiduciary for the service I am requesting? Put the scope and capacity in writing.
Your compensation
What will I pay in dollars, and do you or your firm receive commissions, placement fees or other compensation?
Your independence
Do you, your firm or an affiliate sponsor, distribute or have a financial interest in this investment?
Your diligence
What have you checked about ownership, transfer restrictions, valuation, fees, custody and the issuer? What remains unverified?
My wider plan
How would a long holding period or a total loss affect my cash needs, concentration and financial goals?
Your record
Can we review your registration, Form ADV or Form CRS where applicable, and the full context of any disclosures?
Choose the help your question needs.
A financial professional can discuss portfolio fit and investment questions. A securities attorney may be appropriate for legal rights or document interpretation; a tax professional for tax consequences. If you suspect fraud, contact your bank and use official reporting channels promptly.
A CONVERSATION ON YOUR TERMS
Let’s find a useful next step.
Tell the team what kind of help you want and where you live.
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- You decide whether to speak with a professional and agree any services or fees directly.
No investment, appointment or advisory relationship is created by this form. Availability is not guaranteed. You can also contact professionals through the independent directories above.
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