Below is a simplified overview of the relationship summary filing process in Web CRD® and IARD and is meant to provide a general outline of the steps that investment advisers and broker-dealers will take to file their relationship summaries. For more detailed filing instructions, please consult the Web CRD® or IARD Quick Reference Guides for CRS that have been linked below.
*For purposes of Form CRS, a “retail investor” is a natural person, or the legal representative of such natural person, who seeks to receive or receives services primarily for personal, family or household purposes.
Modified: April 6, 2023
