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Reminder to Registered Investment Advisers (RIA) – Form CRS to be filed by June 30

June 17, 2020

Registered investment advisers (RIAs) that do business with retail investors are required to file their client relationship summary on Form CRS by June 30, 2020. Form CRS must be filed electronically through IARD as Part 3 of the RIA’s Form ADV. RIAs must then deliver to current retail clients their Form CRS within thirty (30) days following the June 30, 2020 compliance date. RIAs who do not do business with retail investors are generally not required to complete or file a Form CRS.

If you have any questions, please contact Peter Schwartz or Stephanie Danner.