Form CRS (Client Relationship Summary) Development & Ongoing Maintenance

DuMont Consulting delivers comprehensive Form CRS (Client Relationship Summary) development and ongoing maintenance services designed to help broker-dealers and registered investment advisers (RIAs) meet SEC disclosure obligations with clarity, accuracy, and consistency. Form CRS is a critical investor-facing document mandated by the SEC to provide retail investors with a standardized, plain-English summary of a firm’s services, fees, conflicts of interest, standards of conduct, and disciplinary history. Regulators increasingly scrutinize Form CRS disclosures, making accuracy, timeliness, and alignment with a firm’s actual business practices essential.

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Our consultants manage the end-to-end Form CRS lifecycle, from initial drafting and SEC filing to continuous monitoring and updates as your firm evolves. We work closely with firm leadership and compliance teams to ensure Form CRS content accurately reflects advisory and brokerage services, compensation structures, rollover practices, conflicts of interest, and material changes to operations. Each Form CRS is carefully tailored to the firm’s specific business model while remaining fully aligned with SEC formatting, delivery, and recordkeeping requirements.

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As part of our outsourced CCO services for investment firms, DuMont integrates Form CRS oversight into your broader compliance framework. This includes coordinating Form CRS updates with Form ADV amendments, supervisory procedures, marketing disclosures, and investor communications to ensure consistency across all regulatory filings. We also manage delivery and posting requirements, helping firms meet timing obligations for new clients, existing clients, and material updates.

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Ongoing maintenance is a core component of our service. DuMont proactively reviews Form CRS disclosures in response to regulatory guidance, enforcement trends, examination priorities, and internal business changes. Our structured review process helps reduce regulatory risk, prevent disclosure gaps, and ensure your Form CRS remains audit-ready at all times. In the event of an SEC or FINRA examination, our documentation and version control processes support efficient regulatory responses and examiner confidence.

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By outsourcing Form CRS development and maintenance to DuMont Consulting, firms gain access to experienced compliance professionals who understand both regulatory expectations and real-world operational challenges. The result is a compliant, investor-friendly Form CRS that supports transparency, strengthens investor trust, and aligns seamlessly with your firm’s overall compliance program.