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We want you to understand how we run our business, the steps we take to protect your information and the ways in which we may be compensated for the services we offer and the products we recommend.

What is Form CRS?

Form CRS is designed to help retail investors better understand the nature of the relationship and what services they can expect from a financial firm and its individual professionals, primarily in terms of a fee-based account with an investment adviser, a transaction-based account with a broker-dealer, and the significance, roles, and duties of an investment advisory representative versus those of a registered representative.

In June 2019, the SEC adopted requirements (SEC Release 34-86032) for registered investment advisers, broker-dealers, and dual-registrants that do business with retail investors to file Form CRS (customer relationship summary). Form CRS is intended to inform retail investors about:

  • The types of client/customer relationships and services the firm offers;

  • Fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services;

  • Whether the firm and its financial professionals currently have reportable legal or disciplinary history;

  • How to obtain additional information about the firm.


We believe transparency and trust go hand-in-hand. 

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