Industry regulators such as the SEC and FINRA require certain disclosures both prior to opening account and on a periodic basis. These disclosures are intended to assist you in the process of evaluating financial services firms, and your representative.
Form ADV Part 2 is divided into two parts. Part A includes information such as the types of advisory services offered, our fee schedule, disciplinary information, conflicts of interest, business affiliations and other disclosures that are of interest. Part B provides information on the business background of your Investment Advisor Representative.
Form CRS is a new relationship summary form that covers a number of topics including the types of services offered, the fees and costs you will have to pay for those services, potential conflicts of interest the firm has, and other disclosures that may be of interest to you. Form CRS is designed to assist you in the process of evaluating financial services firms such as us.
Wrap Fee Brochure or “Brochure” provides you with a summary of IC Advisory Services, Inc.’s wrap fee programs. This Item is used to provide our clients with a summary of new and/or updated information; we will inform of the revision(s) based on the nature of the information.