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Form CRS
The opportunity presents to see how they answered the delicate question of how their financial professionals make money
"Our firm offers both discretionary advisory services (where our firm makes the decision regarding the purchase or sale of investments) as well as non-discretionary services ...
"The “wrap fee” paid by the client to the sponsor, which includes the fee for advisory services provided by CRMC is generally based on a ...
"Most often, we provide our services to you through an intermediary, such as a private wealth adviser or a wrap fee program sponsor with whom ...
"For free and simple tools to research our firm and representatives, please visit Investor.gov/CRS."
"When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the ...
"You also pay other fees and costs, directly or indirectly, related to our advisory services. These fees vary greatly based on your choice of account, ...
"We review the assets of client accounts on a continuous basis to ensure they are being managed consistently with the applicable investment strategy. A limitation ...
"If you participate in a wrap program, the wrap fee you pay to the Sponsor will not include Trading Costs if we 'trade away,' or ...
"When FMR serves as subadviser, you do not directly pay a fee to us. Instead, as compensation for our discretionary subadvisory services, we receive a ...
"WCMT principals will interview the client and gather documents from the client to allow the firm to identify the client’s ultimate financial goals"
"we offer our services in wrap fee advisory programs sponsored by unaffiliated financial advisors, broker-dealers, financial planners and banks"
"We will not implement or change your investment strategy without getting your approval"
This same FAQ reminds that the purpose of the form is disclosure and not marketing
SEC releases new Form CRS FAQs days before June 30th deadline
In a Wrap Program, we generally receive from .125% to 1.00% in annual compensation, depending on the program sponsor, type of account
Advisers and B-Ds should especially focus on rollovers and 401(k) withdrawals
Our employees are paid a fixed salary, an annual performance-based cash bonus and participation in either direct equity holdings or an equity-linked deferred compensation plan
This is an example of a 4-page Form CRS for a dual registrant
This example features a two-column format
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