Relationship Summary Archives

Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under section 15 of the Exchange Act and investment advisers registered under section 203 of the Advisers Act are required to deliver to retail investors a relationship summary, Form ADV Part 3, disclosing certain information about the firm. Read all the General Instructions as well as the particular item requirements before preparing or updating the relationship summary.

This relation ship summary, or Part 3 of the Form ADV, is a written disclosure that provides a retail investor with succinct information about the relationships and services the firm offers to retail investors, fees and costs that retail investors will pay, specified conflicts of interest and standards of conduct, and disciplinary history, among other things. The relationship summary must be written in plain English, be concise, and provide certain meaningful and accurate information about the firm, its financial professionals and the services it offers retail investor clients and customers.

Tag: Relationship Summary

Form ADV Part 3 Items

Form ADV Part 3: Relationship Summary