Compliance executive, operations leader, and process specialist.
Compliance executive, operations leader, and process specialist.
For Registered Investment Advisers (RIAs), Form ADV Part III (Client Relationship Summary – CRS) is a critical investor-facing disclosure and a frequent focal point of U.S. Securities and Exchange Commission examinations. DuMont Consulting provides comprehensive Form ADV Part III compliance support to help advisory firms meet regulatory expectations while clearly communicating their services, fees, conflicts of interest, and standards of conduct to retail investors.
Our team assists RIAs with the drafting, review, updating, and filing of Form ADV Part III disclosures, ensuring alignment with current SEC rules, interpretive guidance, and enforcement trends. We work closely with firms to accurately reflect advisory business models, compensation arrangements, disciplinary disclosures, and conflict mitigation practices—reducing the risk of misleading or inconsistent information across regulatory filings and client materials.
DuMont Consulting goes beyond template-based disclosures. We tailor Form ADV Part III language to each firm’s operations, investment strategies, and client base, helping firms strike the right balance between regulatory precision and plain-language clarity. This approach enhances investor understanding while demonstrating good-faith compliance during examinations and audits.
As part of our outsourced CCO services for investment firms, Form ADV Part III oversight becomes an ongoing, proactive compliance process rather than a once-a-year filing exercise. We continuously monitor regulatory developments, business changes, and operational updates that may trigger amendments, ensuring timely updates and consistent disclosures across Form ADV Parts I, II, and III.
By partnering with DuMont Consulting, RIAs gain confidence that their Form ADV Part III disclosures not only meet regulatory requirements but also support strong governance, effective risk management, and long-term compliance sustainability.