Form ADV Part III (ADV CRS) Compliance Support: How Dumont Consulting Helps Investment Firms Stay Regulator-Ready

Form ADV Part III, commonly known as the Customer Relationship Summary (ADV CRS), is a critical SEC compliance requirement for registered investment advisers (RIAs) and broker-dealers. Introduced to improve transparency and investor understanding, ADV CRS requires firms to clearly explain their services, fees, conflicts of interest, disciplinary history, and standards of conduct in plain English. While the document is short, compliance mistakes can lead to SEC deficiencies, enforcement actions, and reputational risk—making expert compliance support essential.

At Dumont Consulting, we provide specialized Form ADV Part III (ADV CRS) compliance support designed to help investment firms meet SEC and state regulatory expectations with confidence. Our team understands that ADV CRS is not just a one-time filing—it is a living document that must stay aligned with your Form ADV Part 1 and Part 2, marketing disclosures, and actual business practices.

Why ADV CRS Compliance Is High-Risk

Regulators closely scrutinize ADV CRS filings for:

• Inconsistent disclosures across ADV documents

• Misrepresentation of fees, conflicts, or services

• Failure to update material changes

• Poorly written language that does not meet “plain English” standards

Even minor discrepancies can trigger SEC deficiency letters or follow-up exams.

How Dumont Consulting Supports ADV CRS Compliance

Dumont Consulting offers end-to-end ADV CRS compliance support, including:

• Drafting and revising Form ADV Part III disclosures

• Cross-checking alignment with Form ADV Parts 1 and 2

• Ensuring SEC-compliant plain-English formatting

• Updating ADV CRS after material business changes

• Ongoing compliance monitoring and regulatory readiness

Our compliance specialists work closely with RIAs, hedge funds, private equity firms, and broker-dealers to reduce regulatory exposure while strengthening investor trust.

Ongoing Compliance, Not One-Time Filing

ADV CRS compliance does not end after submission. Firms must re-deliver updated CRS documents to retail investors, maintain proper records, and ensure disclosures remain accurate as business models evolve. Dumont Consulting provides ongoing compliance support so your firm stays exam-ready year-round.

Partner With Dumont Consulting

With increasing SEC enforcement and heightened investor scrutiny, having expert compliance support is no longer optional. Dumont Consulting delivers practical, regulator-focused Form ADV Part III (ADV CRS) compliance solutions that protect your firm, streamline regulatory obligations, and support long-term growth.

Contact Dumont Consulting today to ensure your ADV CRS disclosures are accurate, compliant, and built to withstand regulatory examination.