Regulatory documents
Form CRS
The client relationship summary is a short document describing the services we offer, what they cost, the conflicts of interest that come with them, and our disciplinary history.
Document not yet posted
simplyRIA advisor network’s Form CRS has not been posted to this page yet. Ask us for a copy through the contact page or by telephone and we will send it to you.
[deliver the Form CRS PDF; it will be served from /documents/form-crs.pdf]
Investment advisory services are provided through simplyRIA advisor network once affiliation and required registrations are effective. These are the advisory firm’s documents, not a separate Farrell Financial RIA filing.
Most recently updated:[date of most recent Form CRS]
What is in it
Form CRS is written to be read, not filed away. It answers a short list of questions in plain language: what investment services and advice we can provide you, what those services cost, what legal obligations we have to you, how we make money and what conflicts that creates, and whether we or our financial professionals have any legal or disciplinary history.
Questions worth asking us
Form CRS includes a set of conversation starters. They are good questions to put to any adviser you are considering:
- Given my situation, should I choose an investment advisory service? Why or why not?
- How will you choose investments to recommend to me?
- What is your relevant experience, including your licences, education, and other qualifications?
- Do you or your financial professionals have any disciplinary history? For what type of conduct?
- Who is my primary contact person, and who can I talk to if I have concerns about how this person is treating me?
Related documents
simplyRIA advisor network’s Form ADV Part 2A brochure describes the same topics in considerably more detail. Public records forSimplyRIA Advisor Network are also available on the SEC’s Investment Adviser Public Disclosure website.