SEC Form CRS

Form CRS or client relationship summary, provides customers with information about:

• The types of services the firm offers;
• The fees, costs, conflicts of interest, and required standard of conduct associated with those services;
• Whether the firm and its investment professionals have reportable legal or disciplinary history; and
• How to get more information about the firm.

The client relationship summary also includes questions to help begin a discussion with an investment professional about the relationship, including their services, fees, costs, conflicts and disciplinary information.

The form should be delivered at the outset of a customer’s relationship with a broker-dealer or RIA, and at certain other times when the customer alters an existing relationship.

For example, the relationship summary should be provided again if the firm is recommending the investor roll over assets from a retirement account into a new or existing account or investment.

The form can be delivered in paper or electronic form, depending on how the investor has chosen to receive disclosures from the firm, and it should also be available on the firm’s public website.