This Form ADV Part 3 (Form CRS) Templates provides SEC Registered Investment Advisory firms with a pre-made format to get you started with complying with the SEC’s Regulation Best Interest requirements for the 2- page Relationship Summary. 

The “FEE ONLY” template should be used by fee-only advisers that have no other forms of compensation.  The “FEE BASED” template should be used by SEC RIA firms that receive other forms of compensation such as insurance commissions or securities commissions from an unaffiliated broker-dealer.

The templates are delivered in WORD format for your easy customization. They also include:

  • Easily identifiable inserts for customization.
  • Highlights identifying text required by regulation that should not be altered or removed.
  • Pre-labeled and formatted with machine-readable headings for each required section.
  • Pre-formatted Conversation Starters.
  • Additional information included:
    • Background information and links directly to regulatory instructions and resources regarding Form CRS requirements
    • Delivery Requirements
    • PDF of “Form ADV, Part 3: Instructions to Form CRS”

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