Form CRS Delivery and Logging Made Simple

Published On: October 30, 2025Categories: Compliance

The SEC Advisers Act Rule 204-5 requires the form CRS to be delivered both at initial discussions with a prospect and when opening an account, advising a current client regarding a rollover or recommending a new service or investment product. 

Regulators will want to view this log making keeping it in an easily accessible format is key.  The logging of such is different for Hybrid and RIA only advisors.  Here’s a breakdown of requirements: 

LPL Hybrid Advisors:   

  • LPL requires all CRS deliveries to be logged manually through ClientWorks 
  • Navigate to Client Works/Menu/Compliance/Form CRS to find their entry form 

GVA RIA Only Advisors 

  • Both the Client Engagement Agreement (CEA) and for financial plans the Consulting Services Agreement (CSA) contain language whereby clients attest to receiving the CRS 
  • For all prospects and accounts where there is no CEA or CSA our CRS Delivery Log must be completed; this is available through the Required Forms tab on GVARIA.com 

We encourage you to ensure all staff is aware of when the manual logs must be used and how to retrieve and enter data into these logs. 

If you have any questions please email compliance@greatvalleyadvisors.com. 

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