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This document outlines the investment advisory services provided by Edly Advisors LLC, including details about fees, conflicts of interest, and the qualifications of financial professionals. It focuses

How to fill out client relationship summary

How to fill out client relationship summary

1. Start with client identification: Include the client's name, address, and contact information.
2. Gather background information: Provide details on the client's history and relationship with your organization.
3. Identify key stakeholders: List the primary contacts within the client's organization and their roles.
4. Outline objectives: Clearly state the client's goals and objectives in the context of your services.
5. Document communication preferences: Note how the client prefers to communicate (e.g., email, phone, in-person).
6. Include previous interactions: Summarize past engagements, meetings, and communications with the client.
7. Highlight challenges and solutions: Identify any challenges faced and how they were addressed.
8. Keep it updated: Regularly review and update the summary to reflect any changes in the client relationship.

Who needs client relationship summary?

1. Account managers who oversee client relationships.
2. Sales teams that need insight into client needs and history.
3. Customer support teams for better service delivery.
4. Executives and leadership for strategic decision-making.
5. Any stakeholder involved in handling client interactions.

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What is client relationship summary?

A client relationship summary is a document that provides essential information about a financial advisor or firm, including services offered, fees, and potential conflicts of interest, to help clients make informed decisions.

Who is required to file client relationship summary?

Investment advisers and broker-dealers are required to file a client relationship summary to comply with regulatory requirements established by the Securities and Exchange Commission (SEC).

How to fill out client relationship summary?

To fill out a client relationship summary, firms must complete a standardized form by providing information on their services, fees, investment strategies, risk disclosures, and any conflicts of interest, ensuring clarity and transparency.

What is the purpose of client relationship summary?

The purpose of the client relationship summary is to promote transparency and simplicity in financial services, allowing clients to better understand their relationship with a financial advisor or firm and to compare different providers.

What information must be reported on client relationship summary?

The client relationship summary must report information including the types of services offered, fees and costs, the standard of conduct (fiduciary or suitability), conflicts of interest, and disciplinary history, among other relevant details.