Form CRS

In a Wrap Program, we generally receive from .125% to 1.00% in annual compensation, depending on the program sponsor, type of account

Advisers and B-Ds should especially focus on rollovers and 401(k) withdrawals

Our employees are paid a fixed salary, an annual performance-based cash bonus and participation in either direct equity holdings or an equity-linked deferred compensation plan

This is an example of a 4-page Form CRS for a dual registrant

This example features a two-column format

“It was very difficult” to condense it down to two pages

Some firms have already published their Form CRS. Here are some examples

Confluence sales personnel are compensated based on a portion of the fees paid to Confluence for advisory services, creating a conflict in that they have ...

Our affiliate may pass along certain transactional costs associated with acting as custodian for your account, but we do have the authority to waive these ...

Marilyn Cohen has over 35 years of investment management experience. See her complete background at ...