Disclosure Brochures

Download Form CRSForm CRS

Form CRS (Client Relationship Summary) is a uniform disclosure document prescribed by the SEC; it is intended to enhance investor protection by providing succinct and relevant information to retail investors, thus enabling comparability between broker-dealers and investment advisers. The Form CRS is intended to inform retail investors about:

  • The types of client and customer relationships and services the firm offers;
  • The fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services;
  • Whether the firm and its financial professionals currently have reportable legal or disciplinary history; and
  • How to obtain additional information about the firm
  • Encourage a dialogue to ask questions (Conversation Starters).

If you have any questions about the Form CRS or would like a physical copy of the document, please contact aws@awsadvisorsllc.com.

Download Form ADV Part 2Form ADV Part 2

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. Form ADV Part 2 requires investment advisers to prepare narrative brochures that include plain English disclosures of the adviser’s business practices, fees, conflicts of interest, and disciplinary information. The brochure is the primary disclosure document for investment advisers.

If you have any questions about the Form ADV or would like a physical copy of the document, please contact aws@awsadvisorsllc.com.

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