Advisor360 - Annual CRIA Client Contact

IA-reps must contact each investment advisory client regularly (at least annually, within 12 months of last contact) and document these meetings for periodic review by compliance.  All annual contact performed after Feb 2, 2024 must be recorded on A360’s Corporate RIA Annual Review form.

The form -> from left side navigation select Compliance (maybe hiding inside More) – Corporate RIA Reviews

1. Search for the advisor (if have proxy to multiple advisors)
2. May search for specific Household, Account Number or Name on Account
3. Click on the 3 dots next to the Household Name – select “New CRIA Entry” to start a new form.  Complete the required fields on the form, upload any supporting documents and click save.  
   1. Remember to select all accounts or specific accounts discussed during the review meeting
   2. If unable to reach client or client refuse to meet - send the Sample Letter - IAR to Unresponsive CRIA Client  (save copy in A360 Documents tab.)  AND on the Corporate RIA Annual Review Form – check off “Client was unable or unwilling to meet” to satisfy the annual requirement.
4. To review the record, click on 3 dots next to the Household Name – select “View History”.
5. May click on Export to Excel to export page data and click on header to sort columns.  Last CRM Review and Next Scheduled CRM Review dates are prefilled from C360 Contacts Tab - Reviews data.

Learn more

• Watch the CRIA Overview Demo
• Review the CRIA Client Contact in A360 Reference Guide
• Check out the CRIA: Annual Client Contact Requirements FAQs
• Review the Compass Compliance Online Manuals– Investment Adviser Client Contact section

Questions?

Reach out to an Agency Supervisory Officer.

Email help@charteroakfinancial.com or schedule time using Calendly.