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Form ADV Part 3 Client Relationship Summary Date: July 7, 2023 KENNONGREEN & CO. is an investment adviser registered with the U.S. Securities and Exchange Commission (SEC). Brokerage and investment

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How to fill out client relationship summary form

01

Gather all necessary information about the client including their name, contact information, financial goals, risk tolerance, and investment experience.

02

Use a standardized template provided by regulatory authorities to make sure all required information is included.

03

Clearly and concisely summarize the client's relationship with the firm, including any conflicts of interest that may arise.

04

Have the client review and sign the completed form to acknowledge that the information is accurate and complete.

Who needs client relationship summary form?

01

Financial advisors, investment firms, and other financial professionals who work with clients to manage their investments and provide financial advice need to fill out client relationship summary forms.

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What is client relationship summary form?

The client relationship summary form is a document that investment advisers and broker-dealers use to provide important information about their services, fees, and conflicts of interest to clients.

Who is required to file client relationship summary form?

Investment advisers and broker-dealers registered with the Securities and Exchange Commission (SEC) are required to file the client relationship summary form.

How to fill out client relationship summary form?

To fill out the client relationship summary form, firms must follow the SEC's guidelines, including answering specific questions and providing disclosures about their services, fees, and investment strategies in a clear and concise manner.

What is the purpose of client relationship summary form?

The purpose of the client relationship summary form is to enhance transparency and help clients make informed decisions about their financial relationships by providing key information about the firm.

What information must be reported on client relationship summary form?

The client relationship summary form must report information such as the types of services offered, the fees, potential conflicts of interest, and the firm's disciplinary history, among other relevant details.

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