On June 5, 2019, the Securities and Exchange Commission (the “Commission”)
adopted Form CRS and new rules, as well as amendments to its
forms and rules, under both the Investment Advisers Act of 1940
(“Advisers Act”) and the Securities Exchange Act of 1934
(“Exchange Act”).[2]
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Form CRS and its related rules require SEC-registered investment advisers
and SEC-registered broker-dealers (together, “firms”)[3] to deliver to retail
investors a brief customer or client relationship summary that provides
information about the firm.[4] Firms must file their relationship summaries
with the Commission.
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The relationship summary is designed to assist retail investors with the
process of deciding whether to (i) establish an investment advisory or
brokerage relationship, (ii) engage a particular firm or financial
professional, or (iii) terminate or switch a relationship or specific service.
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Click here to view our CRS, as required by the SEC: Dreher CRS Form